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守则及指引

为协助业内人士遵守法例,证监会不时订立各类相关的守则和指引。

《证券及期货条例》(第169条)赋权证监会发表操守守则,就中介人及其代表须遵守的常规和标准提供指引。 

业内人士如违反操守守则,可能会遭受纪律处分。《证券及期货条例》(第399条)亦赋予证监会一般权力,可就以下事宜发出守则及指引:

  • 为达致本会的监管目标提供指引;
  • 关乎本会职能的任何事宜;及
  • 关乎《证券及期货条例》任何条文的施行。

不过,这些守则及指引并非附属法例,违反有关规则不会招致任何司法或其他法律诉讼。守则及指引旨在协助中介人遵守适用的监管规定,例如有关适当人选资格的规定,从而继续获得发牌或注册。

本会曾经发出多份涵盖各监管范畴的守则和指引,本栏载有现行版本及较早的版本(如有)以供查阅,并设有多元搜寻、索引及对照检索等搜寻功能。请按以下连结查阅守则或指引: 

› 守则 

› 指引

最后更新日期: 2023年10月4日

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