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期货和衍生品行业监管动态

者（例如拥有价值不少于 800 万元的投资组合的个人）的投资产品而发

出的广告及其他文件。

18. SFC Proposes Amendments to the Securities and Futures Ordinance to

Strengthen Enforcement (2022/6/10)

The Securities and Futures Commission (SFC) today launched a two-month

consultation on proposed enforcement-related amendments to the Securities and

Futures Ordinance (SFO) (Note 1) to enable it to take more effective enforcement

action.

The amendments would broaden the scope of some SFO provisions to expand

the basis for the SFC to apply for remedial and other orders against a regulated person

under section 213 (Note 2). They would also enable the SFC to address insider
dealing perpetrated in Hong Kong involving overseas-listed securities and insider

dealing involving Hong Kong-listed securities perpetrated elsewhere (Note 3).

Other amendments include clarifying an exemption in section 103(3)(k) of the

SFO such that, unless authorised by the SFC, advertisements of investment products

which are intended to be sold only to professional investors may only be issued to

professional investors who have been identified in advance as such by an intermediary

through its know-your-client and related procedures (Note 4).

"Effective enforcement is essential to safeguard the integrity of Hong Kong’s

financial markets," said Mr Ashley Alder, the SFC’s Chief Executive Officer. "We

review our enabling legislation from time to time to ensure that the SFC has the right

regulatory tools to protect the interests of the investing public and uphold the quality

of our markets."

The public is invited to submit their comments to the SFC no later than 12

August 2022 via the SFC’s website (www.sfc.hk), by email (enfconsultation@sfc.hk),
by post or by fax to 2293 4002.

Notes:

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