Page 754 - 《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

public offering in Hong Kong. It registered 22 new open-ended fund
companies.

 It commenced 53 in-depth inspections of licensed corporations to review

their compliance with regulatory requirements.

 The SFC made 1,929 requests for trading and account records triggered by

untoward price and turnover movements.

 It issued section 179 directions (Note 2) to gather additional information in

11 cases.

 Four licensed corporations and five individuals were disciplined, resulting in

total fines of $20.1 million.

The report is available on the SFC website.

Notes:

1．The initiatives include broadening of the scope of Stock Connect to include
foreign companies primary-listed on the Stock Exchange of Hong Kong Limited to be

accessible by Mainland investors via southbound trading while additional companies

listed on the Shanghai and Shenzhen stock exchanges can be provided for trading by

overseas investors via northbound trading; support for Hong Kong to study the

introduction of treasury bond futures and for expediting the opening up of China’s

treasury bond futures market to overseas investors, as well as supporting the study of

inclusion of RMB counters in Stock Connect for southbound trading.

2．Section 179 of the SFO gives the SFC the power to compel the production of

records and documents from persons related to a listed company.

https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announce

ments/news/doc?refNo=22PR101

26. 有关声称向投资者提供回报的虚拟资产安排的声明（2022 年 12 月 13 日）

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