Page 247 - 《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

1. 作为一个法定团体，SFC 的工作是受《证券及期货条例》所界定

和管限。该条例订明本会的权力、角色和责任，包括其调查、补救及纪

律惩处权。

2. 《证券及期货条例》第 213 条使 SFC 能够向原讼法庭申请作出

强制令及其他命令，包括使交易各方回复他们订立交易之前的状况的命

令。

3. 这亦适用于有关证券的衍生工具。

4. 《证券及期货条例》第 103 条禁止任何人发出载有订明内容的广

告及其他文件，但如该项发出获 SFC 认可，则属例外。根据第 103(3)(k)

条的适用范围，该项禁止目前不适用于只出售予或拟只出售予专业投资

者（例如拥有价值不少于 800 万元的投资组合的个人）的投资产品而发

出的广告及其他文件。

SFC Proposes Amendments to the Securities and Futures Ordinance to

Strengthen Enforcement (2022/6/10)

The Securities and Futures Commission (SFC) today launched a two-month

consultation on proposed enforcement-related amendments to the Securities and

Futures Ordinance (SFO) (Note 1) to enable it to take more effective enforcement

action.

The amendments would broaden the scope of some SFO provisions to expand

the basis for the SFC to apply for remedial and other orders against a regulated person

under section 213 (Note 2). They would also enable the SFC to address insider
dealing perpetrated in Hong Kong involving overseas-listed securities and insider

dealing involving Hong Kong-listed securities perpetrated elsewhere (Note 3).

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