香港证监会要求持牌法团全面配合视察 明确法定监管责任

Core Viewpoint - The Hong Kong Securities and Futures Commission (SFC) has criticized certain licensed corporations for obstructing its supervisory work during inspections, including attempts to delay or refuse inspections, providing incomplete responses, and submitting illegal or falsified documents [1][2] Group 1 - The SFC issued a circular reminding licensed corporations of their obligation to fully cooperate with the SFC and comply with statutory responsibilities, including being prepared for inspections and responding promptly to requests for information [1] - The SFC stated that any individual attempting to obstruct inspections will face decisive regulatory actions, which may include imposing conditions on the licenses of licensed corporations or restricting their business activities [1] - The SFC emphasized that concerns may be referred to other regulatory authorities in Hong Kong, mainland China, and overseas for potential joint regulatory actions [1] Group 2 - The SFC requires the core function supervisors responsible for overall management and supervision to actively fulfill their supervisory and leadership responsibilities during inspections, ensuring compliance with relevant regulations [2] - Any core function supervisor or individual attempting to obstruct the SFC's inspections will be held accountable and may face regulatory actions [2] - The SFC reminded licensed corporations to promptly notify the SFC if they require additional time to gather information and respond to inspection inquiries, providing a clear explanation and a new proposed timeline for approval [2]