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常見問題

本欄載有常見問題的答案,有助你深入了解本會管轄範圍內的各項監管範疇及本會機構事宜。常見問題已按主題劃分如下:

› 中介人

    › 發牌事宜

    › 監管事宜

› 執法

› 市場基礎設施及交易

› 場外衍生工具制度

› 投資者識別及場外證券匯報

› 上市及收購事宜

› 第XV部—披露權益

› 公開發售的投資產品

› 內地與香港基金互認安排

› 內地與香港股市互聯互通

› 直接與美國客戶進行交易的美國商品期貨交易委員會豁免

› 業務延續/緊急應變資料

› 加入本會

› 投資者賠償

› 證監會機構事宜

這部分列出的常見問題,旨在協助你了解證監會人員在執行《證券及期貨條例》及有關附屬法例的某些條文時所採取的政策。有關答案在措辭上屬於一般陳述,並沒有考慮到你的個別情況。部分條文載有重要的例外情況或限定條件,有關答案可能未有提述,但卻可能適用於你的情況。

你不應把有關答案視為專業的法律意見。如你就有關答案可能涉及的事項採取行動前,或對條例如何適用於你有疑問,便應尋求獨立的法律意見或其他專業意見。在參閱答案前,請先細閱本網站"免責聲明"部分。

最後更新日期: 2020年5月27日

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