Page 60 - 期貨和衍生品行業監管動態（2024年6月刊）
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期貨和衍生品行業監管動態
The SFC considers that Ha is guilty of misconduct and is not fit and proper to be
a licensed person.
In deciding the disciplinary sanction against Ha, the SFC has taken into account
all relevant circumstances, including:
? his conduct in creating and sending the false product flashes to the client was
deliberate and dishonest;
? he did not obtain any personal monetary gain from his misconduct;
? his misconduct did not cause any financial loss for the client;
? his admission of his misconduct and co-operation in the SFC’s investigation;
and
? his otherwise clean disciplinary record.
https://apps.sfc.hk/edistributionWeb/gateway/EN/news-and-announcements/news/doc?
refNo=24PR105
19. 香港證券及期貨業務監察委員會成立 35 周年及以后：以使命和愿景引領香
港資本市場（2024 年 6 月 19 日）
6 月 19 日，香港證券及期貨業務監察委員會（SFC）發表《2023-24 年報》，
總結其在守護香港資本市場方面的工作，并紀念成立 35 周年。
《年報》重點講述多項措施，以提升香港資本市場韌性和可持續發展，并鞏
固香港作為國際金融中心的地位。《年報》也載述了 SFC 為協助資本市場迎接未
來機遇及應對挑戰而制訂的路線圖。
SFC 主席雷添良先生表示：“憑借過去多年來取得的成果和寶貴經驗，本會
將有力引領香港資本市場的發展。為達成這個目標，我們將一直堅守承諾，確保
市場的廉潔穩健和韌性，以應對香港、亞洲及全球出現的種種新趨勢和新挑戰。 ”
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