Page 76 - 期货和衍生品行业监管动态（2022年12月）

期货和衍生品行业监管动态

identifying investors placing orders in Hong Kong’s securities market. It also posted a
list of licensed virtual asset trading platforms on its website to allow investors to find

out whether a particular platform is licensed by the SFC.

Key figures for the quarter include:

 The number of licensees and registrants increased 1% quarter-on-quarter to

48,969, of which 3,274 were licensed corporations.

 The SFC vetted 29 new listing applications, including four from pre-profit

biotech companies.

 The SFC authorised 37 unit trusts and mutual funds (including 19 Hong

Kong-domiciled funds) and 103 unlisted structured investment products for

public offering in Hong Kong. It registered 22 new open-ended fund

companies.

 It commenced 53 in-depth inspections of licensed corporations to review
their compliance with regulatory requirements.

 The SFC made 1,929 requests for trading and account records triggered by

untoward price and turnover movements.

 It issued section 179 directions (Note 2) to gather additional information in

11 cases.

 Four licensed corporations and five individuals were disciplined, resulting in

total fines of $20.1 million.

The report is available on the SFC website.

Notes:

1．The initiatives include broadening of the scope of Stock Connect to include

foreign companies primary-listed on the Stock Exchange of Hong Kong Limited to be
accessible by Mainland investors via southbound trading while additional companies

listed on the Shanghai and Shenzhen stock exchanges can be provided for trading by

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