Page 71 - 期货和衍生品行业监管动态（2022年11月）
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期货和衍生品行业监管动态
4．Paragraph 7.1(e) of the Code of Conduct requires a licensed person to
implement internal control procedures to ensure proper supervision of the operation of
discretionary accounts.
5．Paragraph 6 of Part IV of the Management, Supervision and Internal Control
Guidelines for Persons Licensed by or Registered with the SFC (Internal Control
Guidelines) provides that management should establish and maintain effective record
retention policies which ensure that all relevant legal and regulatory requirements are
complied with, and which enable the firm, its auditors, and other interested parties
such as the SFC to carry out routine and ad hoc comprehensive reviews or
investigations.
6．Paragraph 2 of Part VII of the Internal Control Guidelines provides, among
others, that where the firm exercises discretionary authority over a client’s account,
procedures should be used to ensure that only transactions which are consistent with
the investment strategies and objectives of the relevant client, are effected on the
client’s behalf.
https://apps.sfc.hk/edistributionWeb/gateway/EN/news-and-announcements/news/doc?
refNo=22PR93
23. 香港证监会发表有关持仓限额制度的征求意见反馈总结并建议作出进一步
修订（2022 年 11 月 22 日）
香港证券及期货事务监察委员会（SFC）对持仓限额制度作出修订建议，同
时发表征求意见反馈总结和展开进一步征求意见。
经考虑市场对于首次征求意见（注 1）的反馈意见后，SFC 作出了总结，决
定应香港衍生工具市场的近期发展而落实某些建议，使持仓限额制度得以更加切
合 SFC 的监管政策及目标。有关建议包括扩大指定合约的名单，以及为结算所
参与者引入超逾上限持仓量许可制度（注 2）。
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