Page 74 - 期货和衍生品行业监管动态（2022年11月）

期货和衍生品行业监管动态

Notes:

1. The consultation began on 26 April 2022 and ended on 27 June

2022.

2. The SFC decided to proceed with the proposals to (1) expand the list

of specified contracts; (2) prescribe position limits and reporting levels for

some new contracts; (3) increase the position limit for Renminbi currency

contracts; (4) impose large open position reporting requirements for holiday

trading contracts; (5) clarify the circumstances under which a clearing

participant is not regarded as having discretion over its clients’position; and

(6) introduce an excess position limit regime for clearing participants.

3. The further proposed changes would: (1) impose additional
obligations on asset managers who manage funds or sub-funds of umbrella

funds; and (2) provide that if trustees have measures in place to monitor
closely their asset managers ’ compliance with the requirements in the

Securities and Futures (Contracts Limits and Reportable Positions) Rules, the

SFC will consider that the trustees have discharged their obligations under

these rules.

4. These proposals aim to facilitate the implementation of Hong Kong

Exchanges and Clearing Limited ’ s (HKEX) proposals to enhance its

exchange-level position limit models.

https://apps.sfc.hk/edistributionWeb/gateway/EN/news-and-announcements/news/doc?

refNo=22PR96

24. 香港证监会与中国证监会举行高层执法合作会议（2022 年 11 月 25 日）

香港证券及期货事务监察委员会（SFC）与中国证券监督管理委员会（中国

证监会）近日举行了第 13 次定期高层执法合作会议。这也是 SFC 法规执行部执

行董事魏弘福先生（Mr. Christopher Wilson）上任后首次与中国证监会首席稽查

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