| 发表日期 | 刊物名称 |
|---|---|
| 2014年12月 | 第二轮乔装客户检查计划的结果 |
| 2012年10月 | 关于持牌法团销售手法的主题视察报告 |
| 2011年5月 | 乔装客户检查计划的结果 |
| 2007年5月 | 关于对持牌投资顾问进行第二轮主题视察的结果的报告 |
| 2005年2月 | 关于持牌投资顾问的售卖手法的报告 |
其他资料
有关《网上分销及投资谘询平台指引》的业界简报会 (只提供英文版本) (2018年4月/5月)
有关落实适用于复杂产品的网上及非网上销售监管规定的讲座 (只提供英文版本) (2019年4月/5月)
最后更新日期: 2019年5月29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。
证监会明确陈述，本会并无核准或认可本网站内容的简体中文版，以及对于本网站内容的简体中文版不承担任何责任或法律责任（不论是何种及如何引致的责任或法律责任）。证监会同时明确陈述，本网站的简体中文版纯粹是利用该软件将繁体中文版内的中文字体转换成简体中文字而得来的，当中并不涉及香港特区与内地的用词及语句的对应转换。对于该简体中文版的内容的恰当性，证监会不承担任何责任或法律责任。在任何情况下，使用者都不应视本网站内容的简体中文版为其繁体中文版的对应版本。使用者应该参照该简体中文版的已发布繁体中文版来核实该简体中文版的网站内容，并且应该在依赖本网站内容的简体中文版或根据其内容行事之前，就该版本的内容的法律效力、有效性和效果自费征询独立的法律意见。
如果你将证监会网站的简体中文版的内容或网址传送予第三者，你承诺会将本免责声明同时传送予该第三者，并保证该第三者在浏览本网站的简体中文版的内容之前同意接纳本免责声明。
The Securities and Futures Commission (SFC) provides a character-based conversion software (this Software) free of charge in this website. Permission is granted for users to use this Software to convert the web content from traditional Chinese character version to simplified Chinese character version. The SFC undertakes no liability for defects in this Software and gives no warranty in relation to its quality and performance and in particular, but without prejudice to the generality of the foregoing, the SFC shall have no such liability regarding the fitness for purpose, quality or merchantability of this Software, whether express or implied, statutory or otherwise.
The SFC expressly states that it has not approved or endorsed the simplified Chinese character version of the web content and the SFC accepts no responsibility or liability (whatsoever and howsoever caused) for such simplified Chinese character version of the web content. The SFC also expressly states that this simplified Chinese character version of the website is solely established by converting the characters in the traditional Chinese character version via this Software, which involves no corresponding conversion between the terms and expressions used in the Hong Kong SAR and Mainland China. The SFC accepts no responsibility or liability for the fitness of the content of the simplified Chinese character version. Under no circumstances should users treat the simplified Chinese character version of the web content as an equivalent of the traditional Chinese character version thereof. Users should verify the simplified Chinese character version of the web content by making reference to the published traditional Chinese character version thereof, and should at their own costs seek independent legal advice on the legal status, validity and effect of the simplified Chinese character version of the web content before relying or acting upon it.
If you transmit the content of this simplified Chinese character version website or its URL to any third party, you agree to forward this Disclaimer Statement at the same time to the third party and guarantee that the third party agrees to accept this Disclaimer Statement before browsing the content of the simplified Chinese character version of this website.
