Page 661 - 《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

SFC 在展开此次意见征集前，已于 2021 年就期货经纪行的业务及风险管理

做法进行了一项实况调查。此外，主要建议与主要司法管辖区的法规看齐，并受

益于近月向广泛类别的市场从业员收集到的意见和看法。

欢迎相关人士于 2023 年 1 月 31 日或之前，通过 SFC 网站（www.sfc.hk），

或以电邮（2022_FuturesConsultation@sfc.hk）、邮寄或传真（(852) 2523 4598）

的方式提交意见。

SFC Consults on Risk Management Guidelines for Futures Dealing Activities

(2022/11/25)

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

proposed risk management guidelines for licensed futures brokers.

The proposed guidelines mainly include qualitative requirements for the control

and management of key risks arising from futures dealing activities. Key proposals

include requiring futures brokers to set prudent client risk limits and comply with

additional requirements relating to commodity futures. They would also be required to

conduct due diligence reviews of executing or clearing agents, safeguard client assets

more properly, and put in place controls relating to trading in futures markets and

handling client assets outside Hong Kong.

In addition, in respect of clients who failed to meet two margin calls by the

settlement deadline without reasonable excuse in the preceding 30 calendar

days, futures brokers would be required to insist on collecting outstanding margin

calls, and, where applicable, follow their in-house policies towards forced liquidation.

Futures brokers would also be required to set thresholds for concessionary margining.

Most of the requirements incorporate existing industry risk management
practices or elaborate on the practical application of existing requirements in the Code

of Conduct for Persons Licensed by or Registered with the Securities and Futures

Commission.

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