Page 52 - 期货和衍生品行业监管动态（2023年4月）

期货和衍生品行业监管动态

1. NOHK has been licensed under the Securities and Futures Ordinance (SFO)

to carry on Type 1 (dealing in securities), Type 4 (advising on securities) and

Type 9 (asset management) regulated activities since 9 April 2014.

2. NOHK executed the trades without a Type 2 (dealing in futures contracts)

licence. Under section 114 of the SFO, no person shall carry on a business

in a regulated activity or hold himself out as carrying on a business in a
regulated activity without a licence or registration for the regulated activity.

3. General Principle 2 (Diligence) of the Code of Conduct for Persons Licensed

by or Registered with the Securities and Futures Commission (Code of

Conduct) requires a licensed corporation to act with due skill, care and

diligence, in the best interests of its clients and the integrity of the

market. General Principle 7 (Compliance) and paragraph 12.1 (Compliance:

in general) of the Code of Conduct require a licensed corporation to comply

with, and implement and maintain measures appropriate to ensure compliance

with, the relevant regulatory requirements.

https://apps.sfc.hk/edistributionWeb/gateway/EN/news-and-

announcements/news/doc?refNo=23PR30

15. 香港金融管理局与香港证券及期货事务监察委员会就场外衍生品监管制度

下金融服务提供者名单进行的年度更新征求意见（2023 年 4 月 21 日）

香港金融管理局（金管局）与香港证券及期货事务监察委员会（SFC）4 月

21 日就场外衍生品清算制度（注 2）下的金融服务提供者的名单（注 1）的年度

更新，发表联合征求意见稿，建议在该名单中分别新增一家机构、删除一家机构

及更改一家机构的名称。

欢迎相关人士在 2023 年 5 月 19 日或之前向金管局或 SFC 提交意见。联合

征求意见稿可从金管局或 SFC 的网站下载。

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