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      • Our statutory objectives include: to maintain and promote a fair, efficient, competitive, transparent and orderly securities and futures industry; to help the public understand the workings of the securities and futures industry 1; to provide protection for the investing public; to minimise crime and misconduct in the industry;
      www.sfc.hk/en/About-the-SFC/Our-role/Regulatory-objectives

      Regulatory objectives - SFC

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  3. www.sfc.hk › en › About-the-SFCOur role | Securities & Futures Commission of Hong Kong

    2021年4月20日 · The Securities and Futures Commission (SFC) is an independent statutory body set up in 1989 to regulate Hong Kong's securities and futures markets. We derive our investigative, remedial and disciplinary powers from the Securities and Futures Ordinance (SFO)

  4. www.sfc.hk › en › About-the-SFCPrinciples | Securities & Futures Commission of Hong Kong

    • Accountability
    • Stakeholder Engagement
    • Internal Codes and Guidelines
    • Risk Management

    We report regularly to the Government. Our annual budget is submitted to the Financial Secretary for approval and tabled before the Legislative Council (LegCo). We publish details of our operations and financial statements in our quarterly reports and a full-year account in our annual reports. We attend meetings at LegCo to present and explain poli...

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    In order to take diverse interests and conflicting viewpoints into account, we strive to maintain contact with the industry and the investing public through: 1. our Advisory Committee as well as other consultative and regulatory committees, which all have many external members; 2. public consultationson regulatory proposals; 3. press releases, cons...

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    We commit to uphold high standards of integrity and conduct within the organisation to promote and maintain public confidence. In addition to complying with relevant legal obligations, our staff must comply with our code of conduct, which stipulates the standards of behaviour expected of them. Key aspects of the code deal with: 1. maintaining confi...

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    We identify, assess and manage external and internal risks in a timely and systematic manner. External risks We have a market contingency plan setting out detailed procedures for dealing with emergency situations which may affect Hong Kong's securities and futures markets, such as precipitous market falls and trading or clearing system failures. Th...

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  5. www.hkex.com.hk › Services › Rules-and-Forms-and-FeesIntroduction to Regulatory Framework - HKEX

    The principal regulator of Hong Kong’s securities and futures markets is the Securities and Futures Commission (SFC), which is an independent statutory body established in 1989 by the Securities and Futures Commission Ordinance (SFCO).

  6. en-rules.sfc.hk › en › Rules-and-standardsLaws | Securities & Futures Commission of Hong Kong

    2015年9月14日 · It is our statutory duty to administer the Securities and Futures Ordinance (SFO) and certain parts of the Companies (Winding Up and Miscellaneous Provisions) Ordinance (CWUMPO) relating to the securities market. The ordinances, in turn, set out our regulatory functions, powers and duties.

  7. www1.hkexnews.hk › listedco › listconewsREGULATORY OVERVIEW AND LICENSING REQUIREMENTS - HKEXnews

    The SFCs regulatory objectives as set out in the SFO are: ’. to maintain and promote the fairness, efficiency, competitiveness, transparency and orderliness of the securities and futures industry; to promote understanding by the public of financial services including the operation and functioning of the securities and futures industry;

  8. apps.sfc.hk › edistributionWeb › apiCircular to licensed corporations - Financial resources ...

    2024年7月3日 · The FRR regime and the submission of FRR returns to the SFC provide significant statutory safeguards for investors, and enable the SFC to monitor the risks and liquidity level of LCs. Under section 56(6) of the FRR, the FRR returns of an LC must be signed by its RO or officer approved by the SFC (each a Signer ).