為協助業內人士遵守法例，證監會不時訂立各類相關的守則和指引。
《證券及期貨條例》（第169條）賦權證監會發表操守守則，就中介人及其代表須遵守的常規和標準提供指引。
業內人士如違反操守守則，可能會遭受紀律處分。《證券及期貨條例》（第399條）亦賦予證監會一般權力，可就以下事宜發出守則及指引：
不過，這些守則及指引並非附屬法例，違反有關規則不會招致任何司法或其他法律訴訟。守則及指引旨在協助中介人遵守適用的監管規定，例如有關適當人選資格的規定，從而繼續獲得發牌或註冊。
本會曾經發出多份涵蓋各監管範疇的守則和指引，本欄載有現行版本及較早的版本（如有）以供查閱，並設有多元搜尋、索引及對照檢索等搜尋功能。請按以下連結查閱守則或指引：
最後更新日期: 2023年10月4日
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