Page 753 - 《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

The Court of First Instance dismissed a judicial review application brought
against the SFC in relation to restriction notices issued during its investigation into a

suspected “ramp-and-dump” scheme in order to freeze assets suspected to be

connected with the scheme. In another case, 13 suspects were charged with criminal

offences at the Eastern Magistrates’ Courts following the SFC’s joint operation with

the Hong Kong Police Force against a ramp-and-dump syndicate.

Other highlights of the quarter included the publication of the SFC-HKMA

annual joint survey on the sale of non-exchange traded investment products and the

SFC’s findings from a review of licensed corporations’ compliance with regulatory

requirements when onboarding clients and distributing or advising on investment

products via online platforms. In addition, new regulatory requirements came into

effect requiring large fund managers to incorporate climate-related risks into their

governance, investment and risk management approaches as well as to make related
disclosures.

The SFC launched its official WeChat account during the quarter and also began

a publicity campaign to help the investing public better understand the investor

identification regime, which will enhance its market surveillance function by

identifying investors placing orders in Hong Kong’s securities market. It also posted a

list of licensed virtual asset trading platforms on its website to allow investors to find

out whether a particular platform is licensed by the SFC.

Key figures for the quarter include:

 The number of licensees and registrants increased 1% quarter-on-quarter to

48,969, of which 3,274 were licensed corporations.

 The SFC vetted 29 new listing applications, including four from pre-profit

biotech companies.

 The SFC authorised 37 unit trusts and mutual funds (including 19 Hong
Kong-domiciled funds) and 103 unlisted structured investment products for

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