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：
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：
最后更新日期: 2023年10月4日
香港证券及期货事务监察委员会（简称证监会）于本网站免费提供一套繁简字体转换软件（该软件）。证监会允许本网站的使用者利用该软件将本网站内容由繁体中文版转换成为简体中文版。证监会不会就该软件欠妥之处承担任何法律责任，亦不会就其品质及性能作出任何担保；尤其是在无损前述的一般性的原则下，证监会无需就该软件对某用途的恰当性、其品质或可商售性承担任何该等明示或隐含的、法定或非法定的法律责任。
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