Page 478 - 《期货和衍生品行业监管动态》（2022年合集）
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期货和衍生品行业监管动态
为了协助业界采用更创新的技术并以安全而合规的方式服务投资者，证监会
已发布多份通函和指引，就其如何在数码环境中应用以原则为本、科技中立的规
则提供指引，其中涵盖非面对面开户、网上分销及投资咨询平台以及网络安全等
主题。
注：
1. 该审查透过多种方式进行，包括实况问卷调查、分析及检查。
2. 在参与调查的持牌机构中，49 家（或 98%）支援股票或交易所交易
基金的网上交易，而其中 13 家同时提供期货及期权合约的网上交易服务。
3. 参与调查的持牌机构所涉足的主要股票市场包括香港、美国及内地，
而这三个市场分别占它们的总成交量约 53%、39%及 7%。主要的期货及期
权市场是美国及香港，分别占已执行合约总数约 74%及 24%。
SFC’s Review Shows Increasing Popularity of Online Investment Services
(2022/8/31)
The Securities and Futures Commission (SFC) today released the observations
and findings from its review of licensed firms providing online brokerage, distribution
and advisory services. It also reminded firms of the regulatory standards applicable to
them when providing these services.
The review revealed that licensed firms provided the following online services to
clients (Note 1):
New accounts were predominantly opened online using non-face-to-face
approaches.
The most commonly offered products were exchange-traded products such as
equities, exchange-traded funds, and futures and options contracts. Increasingly,
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