Page 64 - 期货和衍生品行业监管动态（2022年6月）

期货和衍生品行业监管动态

SFC’s Deputy CEO and Executive Director of Intermediaries. “This kind of
regulatory support is essential to mobilise finance to support the transition to a low

carbon economy.”

Other highlights include changes to enhance the competency framework for

licensees and the launch of the next generation, fully-ditigalised licensing platform on

WINGS (Note 4).

Key statistics for the year (Note 5) include the following:

 The number of licensees and registrants increased to 48,401 and the

SFC received 7,163 new licence applications

 The SFC authorised 166 collective investment schemes, bringing the

total number to 2,849 as of end-March 2022, of which 866 were domiciled in

Hong Kong

 It vetted 306 listing applications and supervised 385

takeovers-related transactions

 It directly sought information from or expressed concerns with

seven listing applicants, exercising its powers under the Securities and

Futures (Stock Market Listing) Rules

 It conducted 262 risk-based on-site inspections of intermediaries and

noted 1,416 incidents of breaches of the SFC’s rules

 It made 7,308 requests for trading and account records from

intermediaries as a result of market surveillance

 It disciplined 17 firms and 19 individuals, imposed fines totalling

$410.1 million for intermediary misconduct and executed search warrants in

37 cases

 Mainland-Hong Kong Stock Connect covered 1,487 Mainland

stocks and 547 Hong Kong stocks as of end-March 2022, representing about

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