Page 53 - 期货和衍生品行业监管动态（2022年9月）
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期货和衍生品行业监管动态
2. 在参与调查的持牌机构中，49 家（或 98%）支援股票或交易所交易
基金的网上交易，而其中 13 家同时提供期货及期权合约的网上交易服务。
3. 参与调查的持牌机构所涉足的主要股票市场包括香港、美国及内地，
而这三个市场分别占它们的总成交量约 53%、39%及 7%。主要的期货及期
权市场是美国及香港，分别占已执行合约总数约 74%及 24%。
17. SFC’s Review Shows Increasing Popularity of Online Investment Services
(2022/8/31)
The Securities and Futures Commission (SFC) today released the observations
and findings from its review of licensed firms providing online brokerage, distribution
and advisory services. It also reminded firms of the regulatory standards applicable to
them when providing these services.
The review revealed that licensed firms provided the following online services to
clients (Note 1):
New accounts were predominantly opened online using non-face-to-face
approaches.
The most commonly offered products were exchange-traded products such as
equities, exchange-traded funds, and futures and options contracts. Increasingly,
online brokers also offered collective investment schemes (including money market
funds for cash management purposes) as well as robo-advisory services.
Apart from Hong Kong, the US and the Mainland were the major equities
markets which clients of the surveyed firms accessed through online platforms. The
major futures and options markets were those in the US and Hong Kong. (Notes 2 and
3)
Some firms invested heavily in their online platforms to enable technical analysis
of stocks and to facilitate investors’ market research in a self-directed environment.
This was coupled with the use of popular social media platforms for marketing and
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