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中介人

監管事宜

我們採取以下措施監管市場上的中介人:

  • 進行現場審查及非現場監察,從而
    • 監察中介人的業務操守,確定其遵守相關的規管規定
    • 評估及監察中介人的財政穩健程度
  • 處理中介人就各項相關規定核准、寬免或修改所提出的申請
  • 就相關政策及監管事宜與中介人及業界保持溝通

如欲查詢詳情,請點擊以下連結: 

監管方針 概述本會對中介人的監管理念;瀏覽者可連結至相關文件查閱詳情,以進一步了解證監會的規管架構和監管方針
監管行動 概述本會對持牌法團的監管行動
修改或寬免法律規定 本會因應中介人的情況,對《證券及期貨條例》各附屬法例的規定作出修改或寬免
刊物及統計數據  源自監管工作的報告及檢討

最後更新日期: 2022年1月31日

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