Page 662 - 《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
“Recent shocks in the financial and commodity futures markets have
underscored the challenges futures brokers face in times of market volatility,” said Ms
Julia Leung, the SFC’s Deputy Chief Executive Officer and Executive Director of
Intermediaries. “The proposed risk management guidelines aim to provide timely
guidance to futures brokers to help them better manage the risks relating to their
business.”
This consultation follows a fact-finding exercise the SFC conducted in 2021 to
survey the futures brokers’ business and risk management practices. Furthermore, the
key proposals are aligned with regulations in major jurisdictions and have benefitted
from comments and views collected from a wide spectrum of market practitioners in
recent months.
Interested parties are invited to submit their comments to the SFC on or before
31 January 2023 via the SFC website (www.sfc.hk), by email
to 2022_FuturesConsultation@sfc.hk, by post or by fax to (852) 2523 4598.
https://apps.sfc.hk/edistributionWeb/gateway/EN/news-and-announcements/news/doc?
refNo=22PR99
579
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