Arrangements relating to SFC’s public services
有关证监会公共服务的安排
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism (AML/CFT) Findings from inspections of AML/CFT controls and compliance practices
致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 就打击洗钱／恐怖分子资金筹集的管控措施及合规作业方式进行视察的结果
SFC commences legal proceedings against New Ray Medicine International Holding Limited and its former top executives
证监会对新锐医药国际控股有限公司及其前高级行政人员展开法律程序
SFC concludes consultation on changes to the REIT Code
证监会发表有关修改《房地产投资信托基金守则》的谘询总结
SFC bans Pang Hon Pan for 21 months
证监会禁止彭汉彬重投业界21个月
SFC bans Chan Shun King for 24 months
证监会禁止陈舜琼重投业界24个月
SFC supports Chief Executive’s initiatives
证监会支持行政长官的施政措施
SFC and ISA sign Fintech cooperation agreement
证监会与以色列证券局签订金融科技合作协议
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism (1) United Nations Sanctions (Central African Republic) Regulation 2020 (Amendment) Regulation 2020 (2) United Nations Sanctions (Mali) Regulation 2019 (Amendment) Regulation 2020
致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 (1) 《2020年〈2020年联合国制裁（中非共和国）规例〉（修订）规例》 (2) 《2020年〈2019年联合国制裁（马里）规例〉（修订）规例》
SFC statement on US sanctions
证监会就美国制裁发表声明
Zeng Lingxi pleads not guilty to charges of obstructing the SFC’s search operation
曾泠樨否认妨碍证监会搜查行动的控罪
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism (1) FATF Statement on High-Risk Jurisdictions subject to a Call for Action (2) FATF Statement on Jurisdictions under Increased Monitoring (3) Outcomes from the FATF Plenary, 21-23 October 2020
致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 (1) 财务行动特别组织有关呼吁各方对高风险司法管辖区采取行动的声明 (2) 财务行动特别组织有关被加强监察的司法管辖区的声明 (3) 财务行动特别组织2020年10月21至23日全体会议所取得的成果
SFC reprimands and fines Credit Suisse Securities (Hong Kong) Limited $2.1 million over breaches of electronic trading requirements
瑞士信贷证券（香港）有限公司因违反电子交易规定遭证监会谴责及罚款210万元
瑞士信贷证券（香港）有限公司因违反电子交易规定遭证监会谴责及罚款210万元
瑞士信贷证券（香港）有限公司因违反电子交易规定遭证监会谴责及罚款210万元
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism Anti-Money Laundering and Counter-Financing of Terrorism Webinar
致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 打击洗钱及恐怖分子资金筹集网络研讨会
New speech by Ashley Alder: Keynote address at Hong Kong FinTech Week 2020
欧达礼的新演讲辞：香港金融科技周2020主题演说
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism United Nations Sanctions (Democratic Republic of the Congo) Regulation 2019
致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 《2019年联合国制裁（刚果民主共和国）规例》
Circular to Licensed Corporations Updated Technical Specifications for OTC Derivatives Trade Reporting
致持牌法团的通函 关于场外衍生工具交易汇报的技术规格的更新
Circular to intermediaries – Workshops to introduce changes to the SFC online portal
致中介人的通函 - 有关简介证监会电子服务网站的改动的工作坊
All licensed corporations, licensed representatives and registered institutions within the meaning of the Securities and Futures Ordinance (Cap. 571) or relevant individuals within the meaning of section 20(10) of the Banking Ordinance (Cap. 155) : Re: Ngai Lai Ha (“Ms Ngai”)
All licensed corporations, licensed representatives and registered institutions within the meaning of the Securities and Futures Ordinance (Cap. 571) or relevant individuals within the meaning of section 20(10) of the Banking Ordinance (Cap. 155) : Re: Ngai Lai Ha (“Ms Ngai”)
《证券及期货条例》（第571章）所指的所有持牌法团、持牌代表及注册机构，或《银行业条例》（第155章）第20(10)条所指的有关人士 : 关于：魏丽霞（“魏女士”）
SFC publicly censures Ngai Lai Ha and imposes a cold-shoulder order for breach of the Takeovers Code
证监会公开谴责魏丽霞违反《收购守则》并对其施加冷淡对待令
New speech by Ashley Alder: Opening remarks at SFC Compliance Forum 2020
欧达礼的新演讲辞：2020证监会合规论坛开幕辞
SFC consults on climate-related risks in funds
证监会就应对基金所涉及的气候相关风险展开谘询
SFC suspends Sandra Cheung Wing Yi for 12 months
证监会暂时吊销张咏仪的牌照12个月
SFC reprimands and fines Goldman Sachs (Asia) L.L.C. US$350 million for serious regulatory failures over 1Malaysia Development Berhad’s bond offerings
高盛（亚洲）有限责任公司在1Malaysia Development Berhad债券发售犯有严重监管缺失遭证监会谴责及罚款3.5亿美元
Market Misconduct Tribunal sanctions CMBC Capital Holdings Limited and its former directors for late disclosure of inside information
民银资本控股有限公司及其前董事因未有及时披露内幕消息而遭市场失当行为审裁处施加制裁
All licensed corporations, licensed representatives and registered institutions within the meaning of the Securities and Futures Ordinance (Cap. 571) or relevant individuals within the meaning of section 20(10) of the Banking Ordinance (Cap. 155)
《证券及期货条例》（第571章）所指的所有持牌法团、持牌代表及注册机构，或《银行业条例》（第155章）第20(10) 条所指的有关人士
SFC publicly censures So Yuk Kwan and imposes a cold-shoulder order for breach of the Takeovers Code
证监会公开谴责苏煜均违反《收购守则》并对其施加冷淡对待令
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (ISIL and Al-Qaida) Regulation
致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 (1)《联合国（反恐怖主义措施）条例》 (2)《联合国制裁（伊黎伊斯兰国及基地组织）规例》
SFC welcomes re-appointment of Non-Executive Directors
证监会欢迎非执行董事获再度委任
Redesigned SFC website
证监会重新设计网站
SFAT affirms SFC decision to ban Lai Voon Wai for five years for IPO sponsor failures
上诉审裁处确认证监会因赖文伟干犯首次公开招股保荐人缺失而禁止他重投业界五年的决定
Circular to intermediaries - Provision of trade documents to clients by access through intermediaries’ websites
致中介人的通函 - 以让客户透过中介人网站取览的方式向客户提供交易文件
Circular on the electronic dissemination of investment product documents
有关以电子形式发放投资产品文件的通函
SFC reprimands and fines China Everbright Securities (HK) Limited $2.5 million
September 28, 2020
中国光大证券（香港）有限公司遭证监会谴责及罚款250万元
SFC signs new MoU with the Insurance Authority
证监会与保险业监管局签订新的谅解备忘录
SFC warns of investment scams on social media
证监会提醒公众注意社交媒体上的投资骗局
Circular to licensed corporations : Review of internet trading cybersecurity
致持牌法团的通函 : 互联网交易网络保安检视
SFC suspends Mung Wai Sun for nine months
证监会暂时吊销蒙炜燊的牌照九个月
SFC launches consultation on anti-money laundering guidelines
证监会就打击洗钱指引展开谘询
SFC reprimands and fines The Bank of East Asia, Limited $4.2 million for regulatory breaches
东亚银行有限公司因违反监管规定遭证监会谴责及罚款420万元
SFC bans Fabian Shin Yick for 20 months over IPO sponsor failures
冼易因首次公开招股保荐人缺失而被证监会禁止重投业界20个月
SFC commences disciplinary proceedings against Ngai Lai Ha for alleged breach of Takeovers Code
证监会对魏丽霞就涉嫌违反《收购守则》展开纪律研讯
Retail investor convicted of false trading
散户投资者虚假交易罪成
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : (1) United Nations (Anti-Terrorism Measures) Ordinance, (2) United Nations Sanctions (ISIL and Al-Qaida) Regulation, (3) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2019 (Amendment) Regulation 2020 & (4) United Nations Sanctions (South Sudan) Regulation 2019 (Amendment) Regulation 2020
致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : (1) 《联合国（反恐怖主义措施）条例》, (2) 《联合国制裁（伊黎伊斯兰国及基地组织）规例》, (3) 《2020年〈2019年联合国制裁（刚果民主共和国）规例〉（修订）规例》& (4) 《2020年〈2019年联合国制裁（南苏丹）规例〉（修订）规例》
Circular on implementation of changes to the open-ended fund companies regime
有关实施修改开放式基金型公司制度的通函 (只备有英文版)
SFC statement on Police investigation concerning Next Digital shares
证监会就警方调查壹传媒股份的声明
Changes to the open-ended fund companies regime take effect
开放式基金型公司制度的修订生效
Circular to All Intermediaries - Frequently Asked Questions on Corporate Professional Investor Assessment
致所有中介人的通函 - 有关法团专业投资者评估的《常见问题》
SFC commences proceedings against Tianhe Chemicals Group Limited and its executive director for defective prospectus and to seek compensation orders for investors
证监会因天合化工集团有限公司招股章程内容欠妥对该公司及其执行董事展开研讯程序并寻求法庭向投资者作出赔偿命令
Former licensee convicted of providing false or misleading information to SFC
前持牌人向证监会提供虚假或具误导性资料罪成
SFC issues restriction notice to freeze broker’s client accounts linked to suspected market manipulation
证监会向经纪行发出限制通知书以冻结与涉嫌操控市场的活动有关的客户帐户
SFC concludes consultation on changes to the open-ended fund companies regime and further consults on customer due diligence requirements
证监会发表有关修改开放式基金型公司制度的谘询总结并就客户尽职审查规定展开进一步谘询
SFC obtains arrest warrants for alleged manipulators of shares of Ching Lee Holdings Limited
证监会就正利控股有限公司股份的涉嫌操纵者取得逮捕手令
证监会禁止罗美子重投业界八个月
Hong Kong-Mainland ETF cross-listing approved
香港与内地ETF互挂获批
SFC bans TS’O Jing for life
证监会终身禁止曹正重投业界
Hong Kong’s asset and wealth management business reports strong growth in 2019
2019年香港资产及财富管理业务录得强劲增长
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : United Nations Sanctions (Democratic Republic of the Congo) Regulation 2019
致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 《2019年联合国制裁（刚果民主共和国）规例》
SFC commences criminal prosecution against Zeng Lingxi for obstruction of search operation
证监会就曾泠樨妨碍搜查行动而对其展开刑事检控
SFC issues quarterly report
证监会发表季度报告
SFC issues restriction notices to two brokerages to freeze accounts of client involved in suspected corporate misconduct
证监会向两家经纪行发出限制通知书以冻结涉及怀疑曾从事企业失当行为的客户的帐户
SFC commences criminal prosecution on market manipulation of shares of Ching Lee Holdings Limited
证监会就正利控股有限公司股份的市场操纵活动展开刑事检控
SFC bans Chan Yiu Ting for 18 months
证监会禁止陈耀庭重投业界18个月
Statement on Next Digital Limited
有关壹传媒有限公司的声明
SFC issues restriction notices to two brokers to freeze client accounts linked to suspected market manipulation
证监会向两间经纪行发出限制通知书以冻结与涉嫌市场操控活动有关的客户帐户
SFC statement on sanctions imposed by the US government
证监会就美国政府施加的制裁发表声明
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : United Nations Sanctions (Central African Republic) Regulation 2020
致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 《2020年联合国制裁（中非共和国）规例》
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : United Nations Sanctions (Central African Republic) Regulation 2020
致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 《2020年联合国制裁（中非共和国）规例》
Court convicts and fines Brilliance Capital Management Limited and its director for unlicensed activities
法院裁定百年资本有限公司及其董事进行无牌活动罪成并处以罚款
Policy Statement by the Securities and Futures Commission
证券及期货事务监察委员会的政策声明
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : Early Alert on United Nations Sanctions
致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 就联合国制裁提早发出通知
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : (1) FATF Statement on High-Risk Jurisdictions subject to a Call for Action, (2) FATF Statement on Jurisdictions under Increased Monitoring & (3) Outcomes from the FATF Virtual Plenary, 24 June 2020
致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : (1) 财务行动特别组织有关呼吁各方对高风险司法管辖区采取行动的声明, (2) 财务行动特别组织有关被加强监察的司法管辖区的声明 & (3) 财务行动特别组织2020年6月24日虚拟全体会议所取得的成果
Court convicts and fines former officer of Wonderful Wealth Group Limited for unlicensed activities
法庭裁定兆容创富有限公司前高级人员进行无牌活动罪成并处以罚款
Court of Final Appeal dismisses leave application of Andrew Left
终审法院驳回Andrew Left的上诉许可申请
Circular to Licensed Corporations : Updated Technical Specifications for OTC Derivatives Trade Reporting
致持牌法团的通函 : 关于场外衍生工具交易汇报的技术规格的更新
SFC bans Lai Wing Fat for 20 months
证监会禁止黎永发重投业界20个月
SFC welcomes appointment of Non-Executive Directors
证监会欢迎非执行董事的任命
SFC publishes review of SEHK’s performance in regulating listing matters
证监会发表有关联交所规管上市事宜表现的检讨报告
SFC commences false trading prosecution against retail investor
证监会对散户投资者展开虚假交易检控
SFC office relocation
证监会办事处迁往新址
Circular to licensed corporations : Revised financial return form
致持牌法团的通函 : 经修订的财务申报表
Annual update to the list of Financial Services Providers under the clearing obligation for OTC derivative transactions
对场外衍生工具交易结算责任所涉及的金融服务提供者名单进行年度更新
SFC publishes Annual Report 2019-20
证监会发表《2019-20年报》
SFC bans former responsible officer of Guosen Securities (HK) Brokerage Company, Limited for 12 months
证监会禁止国信证券（香港）经纪有限公司前负责人员重投业界12个月
SFC reprimands and fines Guotai Junan Securities (Hong Kong) Limited $25.2 million for breaches relating to anti-money laundering and other regulatory requirements
国泰君安证券（香港）有限公司因违反有关打击洗钱及其他监管规定而遭证监会谴责及罚款2,520万元
SFC publicly criticises CICC Financial Trading Limited and China International Capital Corporation Limited for breaches of Takeovers Code
证监会公开批评CICC Financial Trading Limited及中国国际金融股份有限公司违反《收购守则》
SFC publicly censures Fu Kwan for breach of the Takeovers Code
证监会公开谴责傅军违反《收购守则》
OTC derivatives licensing regime: SFC concludes consultation on regulatory scope and competence requirements
证监会就场外衍生工具发牌制度的规管范围及胜任能力规定发表谘询总结
SFC CEO reappointed Chair of IOSCO Board
证监会行政总裁再度获委任为国际证监会组织理事会主席
SFC proposes changes to the Code on Real Estate Investment Trusts
证监会建议修改《房地产投资信讬基金守则》
SFC reprimands and fines Potomac Capital Limited $800,000 for breaching Financial Resources Rules
波多马克投资有限公司因违反《财政资源规则》遭证监会谴责及罚款800,000元
Court convicts and fines former director and shareholder of Wonderful Wealth Group Limited for unlicensed activities
法庭裁定兆容创富有限公司前董事及股东进行无牌活动罪成并处以罚款
SFC bans Kwok Chau Mo for nine months
证监会禁止郭周武重投业界九个月
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : Early Alert on United Nations Sanctions
致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 就联合国制裁提早发出通知
Supplemental Circular on Leveraged and Inverse Products
有关杠杆及反向产品的补充通函 (只备有英文版)
SFC seeks court order to wind up Combest Holdings Limited
证监会寻求法庭颁令将康佰控股有限公司清盘
SFC reprimands and fines Convoy Asset Management Limited $6.4 million for regulatory breaches over bond recommendation
康宏资产管理有限公司因在推荐债券时违反监管规定遭证监会谴责及罚款640万元
SFC welcomes re-appointment of Chief Executive Officer
证监会欢迎行政总裁获再度委任
SFC reprimands and fines Southwest Securities (HK) Brokerage Limited $5 million for breaches of anti-money laundering regulatory requirements
西证（香港）证券经纪有限公司因违反有关打击洗钱的监管规定遭证监会谴责及罚款500万元
Concurrent SFC-HKMA thematic review of spread charges and other practices
证监会与金管局就利润幅度及其他作业手法进行共同主题检视
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : (1) United Nations Sanctions (Central African Republic) Regulation 2020,
(2) United Nations Sanctions (Libya) Regulation 2019 (Amendment) Regulation 2020 & (3) United Nations Sanctions (Yemen) Regulation 2019 (Amendment) Regulation 2020
致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : (1) 《2020年联合国制裁（中非共和国）规例》, (2) 《2020年〈2019年联合国制裁（利比亚）规例〉（修订）规例》& (3) 《2020年〈2019年联合国制裁（也门）规例〉（修订）规例》
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : United Nations Sanctions (Democratic People’s Republic of Korea) Regulation
致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 《联合国制裁（朝鲜民主主义人民共和国）规例》
SFC obtains disqualification orders against former directors of EganaGoldpfeil (Holdings) Ltd
证监会取得针对联洲国际集团有限公司前董事的取消资格令
Circular to Licensed Corporations which are Participants of The Stock Exchange of Hong Kong Limited or Hong Kong Futures Exchange Limited : Licence Holders Insurance Scheme for Exchange Participants
致本身为香港联合交易所有限公司或香港期货交易所有限公司参与者的持牌法团的通函 : 交易所参与者的持牌人保险计划
Circular to licensed corporations : Margin requirements for non-centrally cleared OTC derivative transactions
致持牌法团的通函 : 适用于非中央结算场外衍生工具交易的保证金规定
SFC reprimands and fines Mega International Commercial Bank Co., Ltd. $7 million for regulatory breaches over CIS sale
兆丰国际商业银行股份有限公司就销售集体投资计划违反监管规定遭证监会谴责及罚款700万元
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : Early Alert on United Nations Sanctions
致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 就联合国制裁提早发出通知
SFC obtains court order against Shandong Molong Petroleum Machinery Company Limited
证监会取得针对山东墨龙石油机械股份有限公司的法庭命令
Circular to licensed corporations : Management of cybersecurity risks associated with remote office arrangements
致持牌法团的通函 : 与遥距工作安排相关的网络保安风险管理
Circular to Licensed Corporations : Updated Technical Specifications for OTC Derivatives Reporting