Page 187 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

3.其他建议包括引入一套授权机制，让结算所参与者在提供结算服务时可持

有超逾限额的持仓量，以及就香港交易及结算所有限公司（香港交易所）近年推

出的某些期货及期权合约订明持仓限额及须申报的持仓量。

4.按照现有规定，需要报告的头寸只需要在工作日报告。待香港交易所于

2022 年 5 月 9 日推出衍生产品假期交易计划后，有关规定需要修订以涵盖假期

交易日。详情请参阅香港交易所的咨询总结。

5.这些合约包括每周恒生指数（HSI）和每周恒生中国企业指数（HSCEI）

期权合约，恒生指数和恒生中国企业指数期货期权合约，以及恒生科技指数期货

及期权合约。根据现行规则，证监会仅可批准在恒指和恒生国企指数的期货及期

权合约中持有超额头寸。

SFC Proposes Changes to the Position Limit Regime（2022/4/26）

The Securities and Futures Commission (SFC) today launched a consultation on

proposed changes to the position limit regime for listed futures and options contracts

(Note 1).

A key proposal is to set out how the statutory prescribed limits and reporting

requirements should be applied to unit trusts and sub-funds under an umbrella fund

(Note 2). Other proposed changes (Note 3) involve reportable positions in contracts

traded on holiday trading days (Note 4) and the inclusion of a broader range of

contracts which may be authorised by the SFC for excess positions (Note 5).

“The position limit regime is essential to prevent the build-up of positions which

may threaten the stability of the Hong Kong financial market,” said Mr Ashley Alder,

the SFC’s Chief Executive Officer. “The proposed changes will address the needs of
the market and better align the regime with the SFC’s regulatory policies and

objectives.”

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