法律研究 | 安杰世泽香港资本市场及金融监管动态（2024年8月刊）

联交所对XXX Corporations Limited及XXX集团控股有限公司董事的纪律行动（2024年8月1日）

Exchange's Disciplinary Action Against Directors of XXX Corporations Limited and XXX Group Holdings Limited（1 August 2024）

违规事项

甘先生和李女士未回复上市科的调查和提醒信函，没有配合上市科的调查。

监管要点

不配合联交所调查是严重违反《上市规则》的行为。

董事须配合联交所调查的责任不会因其已经辞任或发行人不再于联交所上市而终止。

Breach

Mr Gan and Ms Li did not respond to the Division's investigations and reminder letters. They failed to cooperate in the investigations.

Key Points of Supervision

Failure to cooperate in the Exchange's investigation is a serious breach of the Listing Rules.

A director's obligation to cooperate does not lapse after his or her resignation, or after an issuer ceases to be listed on the Exchange.

详见：

https://www.hkex.com.hk/News/Regulatory-Announcements/2024/240801news?sc_lang=zh-HK

联交所对XXX控股有限公司及三名前任董事的纪律行动（2024年8月27日）

Exchange's Disciplinary Action Against XXX Holdings Limited and Three Former Directors (27 August 2024)

违规事项

尽管存在明显的利益冲突，马女士、阎先生及孙先生仍参与了该公司向XX集团控股有限公司提供的财务资助。他们未向该公司董事会报告有关事宜，亦未促使该公司遵守《上市规则》适用于财务资助的规定。该公司后来才发现未披露的财务资助，导致其延迟刊发和寄发财务业绩及报告。

基于上述行为，马女士、阎先生及孙先生违反其董事职责，以及尽力促使该公司遵守《上市规则》的责任。

马女士及阎先生亦未配合联交所的调查。

监管要点

董事必须积极主动处理任何冲突，若董事同时于母公司及附属公司任职，更需要特别谨慎。

董事必须就任何重大资料告知董事会，以贯彻良好的企业管治，并确保符合《上市规则》的规定。

Breach

Despite their clear conflict of interest, they were involved in the provision of the financial assistance from the Company to XXX Group Holdings Company Limited. They failed to report the matter to the Company's board and failed to procure the Company's compliance with the Listing Rules applicable to the financial assistance. The Company's subsequent discovery of the hidden financial assistance led to the delayed publication and dispatch of its financial results and reports.

Given their conduct, Ms Ma, Mr Yan and Mr Sun breached their director's duties and their obligations to use their best endeavours to procure the Company's compliance with the Rules.

Ms Ma and Mr Yan also failed to cooperate in the Exchange's investigation.

Key Points of Supervision

Directors must take active steps to manage any conflicts. Particular care is required when they hold positions in both the parent company and a subsidiary.

Directors must keep the board informed of material information for good corporate governance and to ensure compliance with requirements under the Listing Rules.

详见：

https://www.hkex.com.hk/News/Regulatory-Announcements/2024/240827news?sc_lang=zh-HK

“唱高散货”集团怀疑骨干成员被检控（2024年8月6日）

Suspected core syndicate member charged in ramp-and-dump case (6 August 2024)

违规事项

是次刑事法律程序源自证券及期货事务监察委员会（证监会）与警方就涉嫌干犯多项刑事罪行（包括《证券及期货条例》下的罪行）的“唱高散货”集团而展开的联合调查。

监管重点

“唱高散货”计划属于操纵股票市场的手法之一。骗徒利用不同方法将某上市公司的股价人为地推高，然后以高价抛售股票予其他投资者。骗徒还会利用社交媒体平台诱使没有戒备的投资者以高价买入股份，而集团成员则沽货获利，使无辜的受害者蒙受重大损失。串谋诈骗罪行一经循公诉程序定罪，最高刑罚为监禁14年，而《证券及期货条例》下的市场失当行为罪行的最高刑罚为监禁十年及罚款1,000万元。

Breach

The criminal proceedings arose from the joint investigations by the SFC and the Police into the alleged ramp-and-dump syndicates for various criminal offences including offences under the Securities and Futures Ordinance.

Key Points of Supervision

Ramp-and-dump scheme is a form of market manipulation where fraudsters use different means to “ramp” up the share price of a listed company and then “dump” the shares to other investors at an artificially high price. The fraudsters also used social media platforms to lure the unsuspecting investors to buy the shares at an artificially high price while the syndicate members were offloading for profit leaving innocent victims with substantial losses.The maximum penalty on conviction upon indictment for the offence of conspiracy to defraud is 14 years imprisonment while the maximum penalty for market misconduct offences under the SFO is imprisonment of 10 years and a fine of $10 million.

详见：

https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=24PR115

市场失当行为审裁处裁定XX控股有限公司前主席和前行政总裁披露虚假或具误导性的资料及前行政总裁进行内幕交易（2024年8月7日）

Market Misconduct Tribunal finds China XX's former chairman and CEO culpable for disclosure of false or misleading information and former CEO for insider trading (7 August 2024)

违规事项

李YY及李ZZ在授权发出首次公开招股章程及2009年全年业绩公告和年报时，知道有关陈述属虚假或具误导性。在2010年12月初进行审计前会议后，李YY意识到中国XX即将面临危机。李YY知道，有关查询可能会揭露实际情况并将对中国XX的价值带来灾难性影响。李YY知道上述情况后，便开始采取行动出售其于中国XX的持股。李YY及其名下的投资公司Top Wisdom Overseas Holdings Limited曾进行内幕交易，透过2011年1月的股份配售，沽售119,000,000股中国XX，从而避免约3.53亿元的损失。

监管重点

市场失当行为审裁处是一个根据《证券及期货条例》成立的独立机构，并由一名高等法院法官或前法官出任主席及两名成员组成。

市场失当行为包括内幕交易、虚假交易、操控价格、操纵证券市场、披露关于受禁交易的数据及披露虚假或具误导性的数据以诱使进行证券及期货合约交易。这些行为损害投资者的利益及破坏香港作为国际金融中心的声誉。根据《证券及期货条例》，证券及期货事务监察委员会如觉得曾发生或可能曾发生的市场失当行为或按照《证券及期货条例》第XIVA部提述的违反披露规定事宜，则可就该事宜提起在审裁处席前进行的研讯程序。审裁处以公开形式进行民事法律程序及在适当时向被判违法人士施加民事制裁。审裁处借着保障大众投资者的利益及减少市场上的不当行为，从而提高市场的信心。

Breach

Mr Li YY and Mr Li ZZ knew such statements were false or misleading when authorising the issuance of the IPO prospectus and the 2009 annual results announcement and annual report. Mr Li ZZ was aware of the imminent danger facing China XX shares following a pre-audit meeting in early December 2010. Li ZZ knew that such enquiries could expose the reality of the situation and spell disaster for the value of China XX shares. Mr Li ZZ knew that such enquiries could expose the reality of the situation and spell disaster for the value of China XX shares. it was with that knowledge that Mr Li ZZ started to take steps to dispose of his holdings in China XX. Mr Li ZZ and his investment vehicle, Top Wisdom Overseas Holdings Limited, engaged in insider dealing by selling 119,000,000 shares of China XX through a share placement in January 2011, thereby avoiding a loss of approximately $353 million.

Key Points of Supervision

The Tribunal is an independent body which is established under the Securities and Futures Ordinance and is chaired by a judge or former judge of the High Court who sits with two members.

Market misconduct includes insider dealing, false trading, price rigging, stock market manipulation, disclosure of information about prohibited transactions and disclosure of false or misleading information inducing transactions in securities and futures contracts. Such conduct is detrimental to the interests of investors and damages the reputation of Hong Kong as an international financial centre. In accordance with the Securities and Futures Ordinance (Cap. 571) ("SFO"), if it appears to the Securities and Futures Commission (“SFC”) that market misconduct or a breach of a disclosure requirement under Part XIVA of the SFO has or may have taken place, the SFC may institute proceedings before the Tribunal. The Tribunal conducts civil proceedings and, where appropriate, imposes civil sanctions against those it determines to be wrongdoers. It helps promote market confidence by protecting the interests of the investing public and reducing market malpractice.

详见：

https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=24PR133

终止对XX证券融资（香港）有限公司作出暂时不得担任保荐人的处分（2024年8月19日）

Cessation of suspension of XX Corporate Finance (HK) Limited acting as sponsor (19 August 2024）

违规事项

按照与证监会的协定，XX证券融资委聘了独立的检讨机构并与该机构合作，检讨有关其进行保荐人业务的政策、程序及常规。

该检讨机构分两个阶段对XX证券融资经营保荐人业务的程序进行为期九个月的检讨。第一阶段涉及检视XX证券融资现时的内部系统和监控措施，鉴定其保荐人工作的纪录，以及评估其在三宗上市申请中的保荐人工作，以确定其现时的政策和程序是否足够及是否曾出现任何违规情况。

在完成第一阶段的检讨后，该检讨机构就XX证券融资的内部系统和监控措施提出了建议。其后，该检讨机构在第二阶段的检讨中确认XX证券融资已实施有关建议。

监管要点

保荐人的行为应当符合作为保荐人应达到的标准，并遵守《证券及期货事务监察委员会持牌人或注册人操守准则》第17章的规定和《纪律行动声明》等其他监管规定。且保荐人应当设有清晰的规定及程序，让职员了解及得以恰当地履行他们的职责，并具备足够的系统、监控措施、政策及程序，使适用于保荐人业务的所有香港法律及监管规定获得遵循。

Breach

As agreed with the SFC, XXCF engaged and cooperated with an independent reviewer to review its policies, procedures and practices in relation to the conduct of its sponsorship business.

The reviewer conducted a nine-month, two-staged review of XXCF's processes in carrying out sponsorship business. The first stage involved a review of XXCF's current internal systems and controls, an appraisal of the records of its sponsor work, as well as an assessment of its sponsor work in three listing applications, with the objective of ascertaining whether the current policies and procedures were adequate and whether there had been any instances of non-compliance.

Following the first stage of the review, the reviewer made recommendations in relation to XXCF's internal systems and controls. Subsequently, the reviewer confirmed in the second stage of the review that XXCF had implemented the recommendations.

Key Points of Supervision

A sponsor's conduct should conform to the standards expected of it as a sponsor and conform to the requirements under Chapter 17 of the Code of Conduct and other regulatory requirements. And a sponsor should have clear requirements and procedures in place to enable staff members to understand and properly perform their responsibilities, and that there are adequate systems, controls, policies and procedures to enable compliance with all applicable Hong Kong legal and regulatory requirements in relation to sponsor business.

详见：

https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=24PR135

证监会与廉署及澳门司警采取联合行动，涉上市公司跨境企业欺诈及失当行为（2024年8月21日）

SFC, ICAC and Macao Judiciary Police conduct joint operation against suspected cross-boundary fraud and misconduct in listed company (21 August 2024）

违规事项

该公司主席及其他人士涉嫌伪造该公司港澳两地附属公司的交易文件及会计帐目，令应收款项下调逾1.13亿澳门元（约1.1亿港元）。另外，相关人士亦涉嫌以虚假文件及会计帐目，隐瞒挪用公司款项超过900万港元。

监管要点

被捕人士涉嫌触犯《防止贿赂条例》下的代理人使用虚假文件意图欺骗其主事人罪行。上述行为亦涉嫌触犯《证券及期货条例》下关于披露虚假或具误导性资料的罪行或失当行为及关于涉及对上市公司作出亏空、欺诈、不当行为或其他失当行为。

Breach

the chairman of the listed company and other individuals had allegedly falsified business documents and accounting records of the company's subsidiaries in Hong Kong and Macao, while the company's trade receivables totalling over MOP113 million (about HK$110 million) were reduced. Meanwhile, the individuals concerned had also allegedly used false documents and accounting records to conceal the misappropriation of the company's funds over HK$9 million.

Key Points of Supervision

The arrestees had allegedly committed the offence of agent using documents with intent to deceive his principal under the Prevention of Bribery Ordinance. The above conduct may have resulted in the commission of offences or misconduct by the listed company and/or its management which contravene certain provisions under the Securities and Futures Ordinance for disclosing false or misleading information, as well as for defalcation, fraud, misfeasance, or other misconduct in relation to the conduct of the business or affairs of the listed company.

详见：

https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=24PR137

香港交易所旗下CORE CLIMATE纳入黄金标准核证碳信用产品（2024年8月1日）

HKEX to Introduce Gold Standard Carbon Credits on Core Climate (1 August 2024)

香港交易及结算所有限公司（香港交易所）于2024年8月1日（星期四）宣布，已将黄金标准核证减排量（GS-VER）纳入香港交易所旗下的碳市场Core Climate，于2024 年8月1日生效。

Core Climate 支持黄金标准核证减排量的交易、结算、托管和注销，为 Core Climate 用户提供便捷的一站式服务。

Hong Kong Exchanges and Clearing Limited (HKEX) is pleased to announce on Thursday, 1 August 2024, the inclusion of Gold Standard's Verified Emission Reductions (GS-VERs) on the Core Climate platform, HKEX's carbon marketplace, with effect on 1 August 2024.

Core Climate will support the trading, settlement, custody, and retirement of GS-VERs, providing a seamless and integrated experience for Core Climate's users.

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/news/news-release/2024/240801news?sc_lang=zh-cn

没收未领取的2018年度第一次中期股息（2024年8月2日）

Forfeiture of Unclaimed First Interim Dividend for 2018 (2 August 2024)

香港交易所于2018年9月20日派付而于2024年9月20日仍为未领取的2018年度第一次中期股息每股3.64港元将予没收及复归香港交易所。

凡有权收取仍未收取香港交易所自2018年9月起派发的股息或仍未兑现该等股息单的股东尽快联络香港交易所的股份过户登记处香港证券登记有限公司。

Hong Kong Exchanges and Clearing Limited (“HKEX”) 's first interim dividend for 2018 of HK$3.64 per share, payable on 20 September 2018 and remaining unclaimed on 20 September 2024, will be forfeited and will revert to HKEX.

Members entitled to but yet to receive the dividend payments or cash in their dividend warrants in respect of the dividends payable by HKEX since September 2018 are advised to contact HKEX's registrar, Hong Kong Registrars Limited.

详见：

https://www.hkex.com.hk/-/media/HKEX-Market/News/News-Release/2024/240802news/240802news_c.pdf

香港交易所2024年中期业绩（2024年8月21日）

HKEX 2024 Interim Results (21 August 2024)

香港交易所上半年业绩稳健，其中，第二季度随着市场回升及交投活跃，集团收入及其他收益和溢利均创历史新高。集团的多元化战略持续显现成效，衍生产品市场成交量创新高，LME上半年收费交易金属合约的平均每日成交量按年升29%。

香港交易所也宣布了一个重要的科技投资项目——开发“领航星衍生产品平台”，在科技赋能的进程中迈出重要一步，致力确保香港市场为迎接未来做好准备。

HKEX had a robust first half of the year with the second quarter seeing an upswing in market momentum and trading activity, driving record second quarter revenue and other income and profit. The Group's diversification strategy continued to deliver results, underpinned by record volumes in our Derivatives Market, and a 29 per cent year-on-year gain in LME chargeable average daily volumes in the first half.

HKEX also announced a major investment in its technology to develop the Orion Derivatives Platform, marking an important step to HKEX digital destiny and part of HKEX commitment to ensure that Hong Kong's markets are future ready.

详见：

https://www.hkex.com.hk/-/media/HKEX-Market/News/News-Release/2024/240821news/240821news_c.pdf

香港交易所任命环球上市服务部主管（2024年8月27日）

HKEX Names Head of Global Issuer Services (27 August 2024)

香港交易所于2024年8月27号（星期二）宣布任命徐经纬为董事总经理兼环球上市服务部主管。他将于2024年9月2日履新，向市场联席主管姚嘉仁和苏盈盈汇报。

徐经纬将接替现任市场拓展联席主管鲍海洁，负责领导香港交易所驻香港、中国内地、伦敦和新加坡的环球上市服务部团队，进一步丰富和扩大集团的上市发行人基础。鲍海洁已决定在集团以外另谋发展。

Hong Kong Exchanges and Clearing Limited (HKEX) on Tuesday, August 27, 2024 is pleased to announce the appointment of Mr Johnson Chui as Managing Director, Head of Global Issuer Services. Mr Chui will join the Group on 2 September 2024, reporting jointly to Wilfred Yiu and Glenda So in their capacity as HKEX Co-Heads of Markets.

In his new role, Mr Chui will lead HKEX's Global Issuer Services teams based in Hong Kong, China, London and Singapore, driving the Group's efforts to further diversify and expand its listed issuer base. He will be assuming oversight of this important function from Christina Bao, Co-Head of Sales and Marketing, who after eight years at HKEX, has decided to explore opportunities outside the Group.

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/news/news-release/2024/2408272news?sc_lang=zh-cn

香港交易所欢迎LUBNA OLAYAN和 MARTY FLANAGAN加入国际咨询委员会成员（2024年8月30日）

HKEX Welcomes Lubna Olayan and Marty Flanagan to International Advisory Council (30 August 2024)

香港交易所于2024年8月30日（星期五）宣布委任Olayan Financing Company常务委员会主席及Saudi Awwal Bank主席Lubna Olayan和Invesco Ltd.名誉主席Marty Flanagan为香港交易所国际咨询委员会成员，自2024年9月1日起生效。

Hong Kong Exchanges and Clearing Limited (HKEX) On Friday，August 30,2024 pleased to announce the appointment of Lubna Olayan, Chair of the Executive Committee of Olayan Financing Company and Saudi Awwal Bank (SAB), and Marty Flanagan, Chairman Emeritus of Invesco Ltd. (Invesco), to HKEX's International Advisory Council (Council) with effect from 1 September 2024.

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/News-Release/2024/240830news?sc_lang=zh-CN

有关首次公开招股申请、除牌和停牌公司之报告（2024年8月30日）

Report on Initial Public Offering Applications, Delisting and Suspensions (30 August 2024)

本月度报告就报告涵盖期间香港交易所履行监察职责各阶段工作提供关键统计数据。报告期间的资料涵盖（其中包括）已处理之上市申请数目及其现况、向新/潜在新上市申请人及其顾问发出的意见函和指引数目及相应的处理时间、被拒申请及被发回申请的数目，以及除牌和停牌公司数目。

This monthly report provides key statistics relating to the various stages in discharging Hong Kong Exchanges and Clearing Limited (HKEK)'s regulatory oversight duties during the reporting period. The information for the reporting period covers, among others, the number of applications processed and their current status, the number of comment letters and guidance issued to new/ potential new listing applicants and their advisers with the corresponding processing time, the number of rejection and return of listing applications, as well as the number of delisted and suspended companies.

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/Market-Communications/2024/2408302news?sc_lang=zh-HK

通告-关于中国XX集团（于开曼群岛注册成立之有限公司）取消上市地位（2024年8月8日）

Announcement – In relation to the matter of China XX Group (incorporated in the Cayman Islands with limited liability) Cancellation of listing (8 August 2024）

联交所宣布，由2024年8月12日上午9时起，中国XX集团（“该公司”）的上市地位将根据《上市规则》第6.01A(1)条予以取消。

该公司的股份自2022年10月28日起已暂停买卖。根据《上市规则》第6.01A(1)条，若该公司未能于2024年4月27日或之前复牌，联交所可将该公司除牌。

该公司未能于2024年4月27日或之前履行联交所订下的复牌指引而复牌。于2024年5月17日，上市委员会决定根据《上市规则》第6.01A(1)条取消该公司股份在联交所的上市地位。

The Stock Exchange of Hong Kong Limited (the Exchange) announced that with effect from 9:00 am on 12 August 2024, the listing of the shares of China XX Group (the Company) will be cancelled under Rule 6.01A(1).

Trading in the Company's shares has been suspended since 28 October 2022.  Under Rule 6.01A(1), the Exchange may delist the Company if trading does not resume by 27 April 2024.

The Company failed to fulfill the resumption guidance set by the Exchange and resume trading in its shares by 27 April 2024.  On 17 May 2024, the Listing Committee decided to cancel the listing of the Company's shares on the Exchange under Rule 6.01A(1).

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/Regulatory-Announcements/2024/240808news?sc_lang=zh-HK

通告 – 关于XX（中国）控股有限公司（于开曼群岛注册成立之有限公司）取消上市地位（2024年8月12日）

ANNOUNCEMENT – IN RELATION TO THE MATTER OF MOBILE INTERNET (CHINA) HOLDINGS LIMITED (INCORPORATED IN THE CAYMAN ISLANDS WITH LIMITED LIABILITY) (STOCK CODE: 1439) CANCELLATION OF LISTING (12 August 2024）

联交所宣布，由2024年8月14日上午9时起，XX（中国）控股有限公司（“该公司”）的上市地位将根据《上市规则》第6.01A(1)条予以取消。

该公司的股份自2022年9月1日起已暂停买卖。根据《上市规则》第6.01A(1)条，若该公司未能于2024年2月29日或之前复牌，联交所可将该公司除牌。

The Stock Exchange of Hong Kong Limited (the Exchange) announced that with effect from 9:00 am on 14 August 2024, the listing of the shares of XX (China) Holdings Limited (the Company) will be cancelled under Rule 6.01A(1).

Trading in the Company's shares has been suspended since 1 September 2022. Under Rule 6.01A(1), the Exchange may delist the Company if trading does not resume by 29 February 2024.

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/Regulatory-Announcements/2024/240812news?sc_lang=zh-HK

通告 – 关于中国XX有限公司（于百慕达存续之有限公司）取消上市地位（2024年8月14日）

Announcement – In relation to the matter of China XX Limited (Continued into Bermuda with limited liability) Cancellation of listing (14 August 2024）

联交所宣布，由2024年8月16日上午9时起，中国XX有限公司（“该公司”）的上市地位将根据《GEM规则》第9.14A(1)条予以取消。

该公司的股份自2023年4月3日起已暂停买卖。根据《GEM规则》第9.14A(1)条，若该公司未能于2024年4月2日或之前复牌，联交所可将该公司除牌。

The Stock Exchange of Hong Kong Limited (the Exchange) announced that with effect from 9:00 am on 16 August 2024, the listing of the shares of China XX Limited (the Company) will be cancelled under GEM Rule 9.14A(1).

Trading in the Company's shares has been suspended since 3 April 2023. Under GEM Rule 9.14A(1), the Exchange may delist the Company if trading does not resume by 2 April 2024.

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/Regulatory-Announcements/2024/240814news?sc_lang=zh-HK

联交所刊发有关无纸化上市改革最新阶段的咨询文件（2024年8月16日）

Exchange Publishes Consultation Paper on a New Phase of Paperless Listing Reforms (16 August 2024）

香港联合交易所有限公司（联交所）于2024年8月16日刊发咨询文件，就建议进一步扩大无纸化上市机制及其他《上市规则》修订征询公众意见。建议旨在将市场基础设施现代化，并提升营运及监管效率。

联交所诚邀市场对各项建议以及使其生效的相关拟议《上市规则》条文发表意见。公众咨询期将于2024年10月18日结束。

The Stock Exchange of Hong Kong Limited (the Exchange), a wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited (HKEX), on Friday，16 August 2024 published a consultation paper seeking public feedback on proposals to further expand its paperless listing regime and other rule amendments.

The Exchange invites market feedback on its proposals and the proposed Listing Rules to implement them. The public comment period ends on 18 October 2024. Interested parties are encouraged to respond to the Consultation Paper by completing and submitting a questionnaire on the HKEX website.

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/Regulatory-Announcements/2024/240816news?sc_lang=zh-HK

证监会与联交所就特专科技公司及特殊目的收购公司并购交易规定作短期修改的联合公告（2024年8月23日）

Exchange Publishes Consultation Paper on a New Phase of Paperless Listing Reforms (23 August 2024）

证券及期货事务监察委员会（证监会）与香港联合交易所有限公司（联交所）于2024年8月23日（星期五）作出联合公告，宣布就以下《上市规则》作短期修改（相关修改）并修订联交所的指引文件，所有修改将于2024年9月1日生效：(a)特专科技公司上市时的最低市值；及(b)特殊目的收购公司（SPAC）进行SPAC并购交易的独立第三方投资规定。

上述修改获证监会支持，其旨在回应这两个上市机制实施以来的市况转变，并考虑到联交所在过去处理特专科技公司上市申请及SPAC并购交易中获得的经验。

The Securities and Futures Commission (the SFC) and The Stock Exchange of Hong Kong Limited (the Exchange), a wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited (HKEX), jointly announce on Friday, 23 August 2024 temporary modifications to the Listing Rules (Modifications)1 and amendments to the Exchange's guidance materials effective from 1 September 2024, with respect to: (a)the minimum initial market capitalisation of Specialist Technology Companies; and(b)independent third-party investment requirements for De-SPAC Transactions conducted by special purpose acquisition companies (SPACs).

The modifications, with the SFC's support, are designed to address the change in market conditions since the introduction of both listing regimes, taking into account the Exchange's experience gained from handling Specialist Technology Companies' listing applications and De-SPAC Transactions.

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/Regulatory-Announcements/2024/240823news?sc_lang=zh-HK

金管局回应美联储议息决定（2024年8月1日）

HKMA's Response to US Fed's Interest Rate Decision (1 August 2024)

美国联邦储备局公开市场委员会经过一连两天的会议后，在2024年8月1日清晨（香港时间）公布维持联邦基金利率目标区间于5.25-5.5厘。香港金融管理局会继续密切监察市场变化，维持货币及金融稳定。

The Federal Open Market Committee of the Federal Reserve (the Fed) announced early on 1 August 2024 (Hong Kong time) after its two-day meeting that it had decided to keep the target range for the federal funds rate unchanged at 5.25-5.5%. The Hong Kong Monetary Authority will continue to closely monitor market developments and maintain monetary and financial stability.

详见： 

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240801-3/

2024年第2季中小企贷款状况调查（2024年8月1日）

Survey on Small and Medium-Sized Enterprises (SMEs)' Credit Conditions for Second Quarter 2024 (1 August 2024)

香港金融管理局（金管局）8月1日公布2024年第2季“中小企贷款状况调查”结果。调查显示，中小企信贷状况维持稳定。金管局公开了调查结果，同时提醒读者需要小心诠释调查结果。

The Hong Kong Monetary Authority (HKMA) published on 1 August the results of Survey on Small and Medium-Sized Enterprises (SMEs)’ Credit Conditions for the second quarter of 2024. According to the survey, SMEs' credit conditions remained stable. The results of this survey should be interpreted with caution.

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240801-4/

“可疑帐号警示”机制覆盖范围扩大至网上银行及柜位转帐（2024年8月1日）

Expansion of Suspicious Account Alert for internet banking and physical branches transactions (1 August 2024)

香港金融管理局（金管局）联同香港警务处（警务处）及香港银行公会（银行公会）8月1日宣布，由2024年8月4日起，32间银行及10间储值支付工具营运商将会扩展“可疑帐号警示”范围，涵盖网上银行及柜位转账，以加强对客户的保障，应对日益增加的诈骗风险。“可疑帐号警示”机制会根据警务处诈骗陷阱搜寻器“防骗视伏器”内的资料，向客户发出高危警示。

为进一步加强防范诈骗风险，警示机制的涵盖范围将扩展至个人客户在银行柜位或以户口号码进行的行内或跨行即时转帐。

The Hong Kong Monetary Authority (HKMA), in collaboration with the Hong Kong Police Force (the Police) and the Hong Kong Association of Banks (HKAB), announces on 1 August that 32 banks and 10 stored value facility (SVF) operators will, starting from 4 August 2024, extend the coverage of the Suspicious Account Alert for internet banking and physical branches transactions, for providing enhanced protection to customers against rising fraud risks. Among them, the Suspicious Account Alert, launched in November 2023, warns customers of “High Risk” of fraud based on information of the Police's Scameter, a scam and pitfall search engine.

To further enhance the protection against fraud risks, the alert mechanism will extend to cover retail customers' fund transfers at bank counters, and online fund transfers within the same bank or inter-bank/SVFs, using account numbers of the payees.

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240801-5/

按揭保险计划（2024年8月2日）

Mortgage Insurance Programme (2 August 2024)

香港按证保险有限公司（按证保险公司）宣布由今年8月8日起，在按揭保险计划（按保计划）下设新安排，按个别情况考虑批准合资格业主将自住的物业出租，以协助他们应付因个人或家庭处境转变带来的特别需要。

业主如有相关情况，便可经银行申请豁免按保计划下的业主自住要求，将物业出租。这一新安排旨在为有特别需要的人士提供协助。业主自住要求仍然是按保计划的主要合资格准则。如发现有业主未获事先批准而将物业出租，按证保险公司会采取适当的行动。

HKMC Insurance Limited (HKMCI) announces that a new arrangement under the Mortgage Insurance Programme (MIP) will be put in place from 8 August 2024 to approve on a case-by-case basis eligible homeowners' applications for renting out their self-occupied properties, so as to help them meet their special needs arising from changes in personal or family circumstances. 

A homeowner may apply, through a bank, for waiver of the owner occupancy requirement under the MIP to rent out his/her property. The above-mentioned new arrangement aims to assist those with special needs.  The owner occupancy requirement remains a key eligibility criterion of the MIP. If a homeowner is found renting out his/her property without prior approval, the HKMCI will take appropriate action.

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240802-4/

中国人民银行与香港金融管理局签署关于开展内地香港跨境支付互联互通的谅解备忘录（2024年8月2日）

PBOC and HKMA Sign MOU on Cross-Boundary Linkage of Payment Systems between the Mainland and Hong Kong (2 August 2024)

中国人民银行副行长陆磊于8月2日会见香港金融管理局副总裁李达志，就内地与香港金融合作、加快推动快速支付系统互联互通等共同关心的议题交换意见。双方亦签署了《中国人民银行与香港金融管理局关于开展内地-香港跨境支付互联互通的谅解备忘录》，为两地开展跨境支付互联互通奠定合作框架。

Mr Lu Lei, Deputy Governor of the People's Bank of China (PBOC), and Mr Howard Lee, Deputy Chief Executive of the Hong Kong Monetary Authority (HKMA) met on 2 August to exchange views on a range of topics of mutual interest, including financial cooperation between the Mainland and Hong Kong, as well as pushing forward the linkage of fast payment systems. They also signed the Memorandum of Understanding (MOU) between the PBOC and the HKMA on Cross-Boundary Linkage of Payment Systems between the Mainland and Hong Kong, establishing a cooperation framework for the linkage. 

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240802-5/

检讨银行三级制咨询总结（2024年8月5日）

Consultation Conclusions on Review of Three-Tier Banking System (5 August 2024)

香港金融管理局（金管局）8月5日发表有关银行三级制的公众咨询总结（总结文件）。总结文件概述咨询期间收到的主要意见、金管局对有关意见的回应，以及金管局对于实施新银行二级制的建议。

金管局在咨询期内总共收到7份意见书，来自银行业、专业团体及相关组织。回应者广泛支持将银行三级制度简化为二级的建议。考虑过收到的意见后，金管局对咨询文件的建议提出若干新的关键事项，以简化过渡并尽量减少对接受存款公司现有客户的影响。

The Hong Kong Monetary Authority (HKMA) published on 5 August the conclusions on the public consultation relating to the review of the three-tier banking system (the Conclusions Paper).  The Conclusions Paper sets out the key comments received in the consultation, the HKMA's responses to these comments, and the HKMA's proposal on implementing the new two-tier banking system.

The HKMA received a total of seven submissions from the banking industry, professional bodies and relevant organisations in the consultation.  The respondents were broadly supportive of the proposal. Having considered the feedback, the HKMA has introduced new parameters to the proposal with a view to streamlining the transition and minimising impact on existing customers of the DTCs.

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240805-5/

虚拟银行的检讨（2024年8月6日）

Review of Virtual Banks (6 August 2024)

香港金融管理局（金管局）8月6日发表对虚拟银行的检讨报告。检讨于2024年（即八间虚拟银行于2020年开业数年后）进行，以审视虚拟银行的营运情况及其对香港银行体系的影响。

根据检讨结果，虚拟银行的发展至今已达到了在香港引入虚拟银行的三项政策目标。此外，虚拟银行利用科技作为主导的创新银行业务模式在香港市场得到广泛接受。与此同时，金管局亦就“虚拟银行”易名为“数字银行”的建议展开为期一个月的公众咨询。预期建议的新名称能更有效反映虚拟银行现时的银行业务模式。

The Hong Kong Monetary Authority (HKMA) issued on 6 August a report on its review of virtual banks (VBs) (the Report). The review was conducted in 2024, several years after the eight VBs commenced their business in 2020, to look into their operations and impact on the Hong Kong banking system.

Based on the results of the review, the development of VBs in Hong Kong has so far achieved the three policy objectives of introducing virtual banking.  Furthermore, virtual banking, the innovative banking model driven by the adoption of technology, is gaining wide market acceptance in Hong Kong. In the meantime, the HKMA has commenced a one-month public consultation on a proposal to rename “Virtual Bank” as “Digital Bank”. It is expected that the proposed new name can better reflect the banking model of VBs in the present day.

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240806-3/

香港最新外汇储备资产数字（2024年8月7日）

Hong Kong's Latest Foreign Currency Reserve Assets Figures Released (7 August 2024)

香港金融管理局8月7日公布，香港于2024年7月底的官方外汇储备资产为4,193亿美元（2024年6月底为4,163亿美元）。连同未交收外汇合约在内，香港于2024年7月底的外汇储备资产为4,187亿美元（2024年6月底为4,160亿美元）。

The Hong Kong Monetary Authority (HKMA) announced on 7 August that the official foreign currency reserve assets of Hong Kong amounted to US$419.3 billion as at the end of July 2024 (end-June 2024: US$416.3 billion)

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240807-3/

国家财政部透过香港金融管理局的债务工具中央结算系统发行人民币国债（2024年8月8日）

Ministry of Finance issues Renminbi Sovereign Bonds through Central Moneymarkets Unit of Hong Kong Monetary Authority（8 August 2024）

国家财政部将会透过香港金融管理局（金管局）的债务工具中央结算系统发行人民币国债，新闻中附有国家财政部的人民币国债招标公告和招标章程以及发行和交存代理通过金管局提供关于招标的信息。

The Ministry of Finance will issue Renminbi Sovereign Bonds through the Central Moneymarkets Unit of the Hong Kong Monetary Authority (HKMA). Please find attached the tender notice and the tender information memorandum of the Renminbi Sovereign Bonds to be issued by the Ministry of Finance. Please also find attached the tender-related information provided by the Issuing and Lodging Agent through the HKMA can be found in the Annex. 

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240808-3/

金管局及数码港推出GenA.I.沙盒推动金融业应用人工智能（2024年8月13日）

HKMA and Cyberport Launch GenA.I. Sandbox to Bolster A.I. Adoption in Financial Sector (13 August 2024)

8月13日，香港金融管理局与香港数码港管理有限公司（数码港）在第二届FiNETech（FiNETech2）中，宣布推出新的生成式人工智能（GenA.I.）沙盒。

继首届FiNETech于2024年4月顺利举行，金管局、数码港及香港金融科技协会共同主办“FiNETech2——进入人工智能宇宙”，重点关注人工智能（A.I.）在改变金融业方面的庞大潜能。

活动期间，金管局宣布推出新的GenA.I.沙盒，并透过与业界交流合作，参考GenA.I.沙盒的经验，分享良好做法，同时确保有相关和适切的监管指引，以配合最新发展。

On 13 August 2024, the Hong Kong Monetary Authority (HKMA), in collaboration with the Hong Kong Cyberport Management Company Limited (Cyberport), announced the launch of the new Generative Artificial Intelligence (GenA.I.) Sandbox on 13 August at FiNETech2, the second edition of the FiNETech series.

Building on the momentum of the first successful inaugural event in April 20241, the HKMA, the Cyberport and the FinTech Association of Hong Kong co-hosted “FiNETech2 – Into the A.I. verse”, highlighting the transformative potential of artificial intelligence (A.I.) in the financial industry.

During the event, the HKMA announced the launch of the new GenA.I. Sandbox. Through interactive engagement with the industry, the HKMA will draw insights from the GenA.I. Sandbox6 and share good practices, while keeping its guidance relevant and fit-for-purpose in the light of the latest development.

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240813-6/

中国人民银行将会透过香港金融管理局的债务工具中央结算系统发行人民币央行票据（2024年8月15日）

The People's Bank of China will issue Renminbi Bills through the Central Moneymarkets Unit of the Hong Kong Monetary Authority (15 August 2024)

中国人民银行将会透过香港金融管理局（金管局）的债务工具中央结算系统发行人民币央行票据。新闻中附有中国人民银行的人民币央行票据的招标公告和招标章程以及发行和交存代理通过金管局提供关于招标的信息。

The People's Bank of China (the "PBOC") will issue Renminbi Bills through the Central Moneymarkets Unit of the Hong Kong Monetary Authority (the "HKMA"). Please find attached the tender notice and the tender information memorandum of the Renminbi Bills to be issued by the PBOC. Please also find attached the tender-related information provided by the Issuing and Lodging Agent through the HKMA.

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240815-3/

2024年第2季信用卡贷款调查结果（2024年8月15日）

Credit Card Lending Survey Results for Second Quarter 2024 (15 August 2024)

香港金融管理局8月15日共布2024年第2季的信用卡贷款调查结果。

信用卡应收帐款总额在上季减少5.3%后，于2024年第2季微跌0.2%至6月底的1,512亿港元。

拖欠及经重组合并比率由上季末的0.37%微升至2024年6月底的0.39%。信用卡季度撇帐率亦由上季的0.55%微升至0.58%。

2024年5月16日，北京市海淀区人民法院召开“劳动人事争议审判白皮书（2020年度 - 2023年度）”发布会，对2020年度至2023年度八件劳动人事争议的典型案例进行了公开发布。法院希望通过这些典型案例的展示，引导劳动者理性维权，推进企业完善用工管理制度。

The Hong Kong Monetary Authority published on 15 August the credit card lending survey results for the second quarter of 2024.

Total card receivables edged down by 0.2% in the second quarter to HK$151.2 billion at end-June 2024, after a decrease of 5.3% in the previous quarter.

The combined delinquent and rescheduled ratio edged up to 0.39% at end-June 2024 from 0.37% at the previous quarter-end.  The quarterly charge-off ratio increased slightly to 0.58% from 0.55% in the previous quarter.

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240815-6/

外汇基金票据及债券的暂定发行时间表（2024年8月15日）

Tentative issuance schedule for Exchange Fund Bills and Notes (15 August 2024)

香港金融管理局8月15日发出2024年10至12月季度内外汇基金票据及债券的暂定发行时间表。该发行时间表载有每批外汇基金票据及债券的暂定投标日期、发行额及发行日期。所载数额代表即将到期之票据及债券的续期和计划对外汇基金票据及债券期限作出的调整。

The Hong Kong Monetary Authority (HKMA) issued on 15 August a tentative issuance schedule for Exchange Fund Bills and Notes (EFBNs) for the coming quarter of October to December 2024. The schedule contains information on the tentative tender dates, issue sizes and issue dates of individual issues, representing rollover of maturing issues and taking into account planned adjustments to the maturity spectrum of the EFBN portfolio.

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240815-7/

香港金融管理局与迪拜金融服务管理局合办气候会议加强亚洲和中东地区的可持续金融合作（2024年8月22日）

HKMA and DFSA co-host Climate Conference to strengthen sustainable finance cooperation across Asia and the Middle East (22 August 2024)

香港金融管理局（香港金管局）与迪拜金融服务管理局（迪拜金管局）8月22日宣布将于2024年9月16日在香港合办首届联合气候金融会议（会议）。

会议议程将包括香港金管局总裁余伟文与迪拜金管局总裁庄思滔的炉边谈话，以及知名讲者就有关净零转型愿景、投资和未来发展方向的专题讨论。会议将于线上线下同步进行。

The Hong Kong Monetary Authority (HKMA) and the Dubai Financial Services Authority (DFSA) announced on 22 August that the inaugural HKMA–DFSA Joint Climate Finance Conference will take place on 16 September 2024 in Hong Kong. The conference will be held in hybrid format.

It will feature an engaging fireside chat between Mr Eddie Yue, Chief Executive of the HKMA, and Mr Ian Johnston, Chief Executive of the DFSA, and will also include high-profile speakers who will lead insightful panels concentrating on topics such as the vision for net-zero transition, channelling capital into transition, and the future of transition.

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240822-3/

金管局和香港银行公会成立联合“中小企融资专责小组”（2024年8月23日）

HKMA and HKAB set up joint Taskforce on SME Lending (23 August 2024)

香港金融管理局（金管局）总裁余伟文与香港银行公会三家主席银行行政总裁于8月23日会见传媒。会面中，三家银行都清楚再次确认，没有改变对中小企融资的风险胃纳，亦没有改变信贷审批准则，同时会确保持续和贯彻执行早前推出的九项措施。

会议宣布，金管局和香港银行公会共同成立一个联合“中小企融资专责小组”，从个案及行业层面进一步推动相关工作。

Mr Eddie Yue, Chief Executive of the Hong Kong Monetary Authority (HKMA) and the Chief Executive Officers of three chairman banks of The Hong Kong Association of Banks (HKAB) met with the press on 23 August. During the meeting, the three banks re-affirmed clearly that they had not changed and would not change their risk appetite towards SME financing and related credit approval standards. They would also ensure ongoing effective implementation of the aforementioned nine measures.

The meeting announced that the HKMA and the HKAB are establishing a joint Taskforce on SME Lending, to further strengthen the related work at both the individual case and the industry levels.

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240823-3/

与中小企并肩同行（2024年8月23日）

Walking with SMEs (23 August 2024)

香港金管局与银行业紧密合作，针对中小企业（中小企）推出一系列支持措施。过去四个月，这些措施惠及近1.4万家中小企，提供超310亿港元信贷，有效缓解资金压力。

金管局与银行成立融资专责小组，从个案和行业层面深化支持，确保措施有效执行。同时，银行保持对中小企融资的稳健态度和透明流程，推出信贷审批覆核安排，增强企业信心。双方还积极促进中小企升级转型，利用科技和金融创新增强竞争力。

The Hong Kong Monetary Authority (HKMA) has worked closely with the banking sector to introduce a series of support measures targeting small and medium-sized enterprises (SMEs). Over the past four months, these measures have benefited nearly 14,000 SMEs, providing more than HK$31 billion in credit facilities, effectively alleviating their financial pressures.

the HKMA and the HKAB established a joint Taskforce on SMEs Lending to further strengthen the related work at both the individual case and the industry levels. Meanwhile, banks have maintained a prudent attitude and transparent process towards SMEs financing and introduced credit approval review arrangements to boost enterprise confidence. Both parties have also actively promoted the upgrading and transformation of SMEs, leveraging technology and financial innovation to enhance their competitiveness.

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/insight/2024/08/20240823/

“商业数据通”对接“授权数据交换闸”促进本港数字经济发展（2024年8月26日）

CDI-CDEG linkage to promote development of Hong Kong's digital economy (26 August 2024)

香港金融管理局（金管局）与数字政策办公室（数字办）8月26日联合公布，金管局“商业数据通”与政府“授权数据交换闸”之间的对接安排现已全面投入运作。参与试行的银行通过两个数据平台于去年12月底建立的对接试行交易，使用率稳步上扬。随着试行顺利完成，该对接现已开放予所有“商业数据通”参与银行。

The Hong Kong Monetary Authority (HKMA) and the Digital Policy Office (DPO) on 26 August jointly announced that the connection arrangement between the HKMA's Commercial Data Interchange (CDI) and the Governmen's Consented Data Exchange Gateway (CDEG) is now in full operation, with a promising growth in the utilisation rate by the pilot banks conducting trial transactions via the CDI-CDEG linkage established in late December 2023. With the successful completion of the trial run, the connection is now open to all CDI participating banks.

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240826-3/

金管局推出Ensemble项目沙盒促进代币化应用（2024年8月28日）

HKMA launches Project Ensemble Sandbox to accelerate adoption of tokenisation (28 August 2024)

香港金融管理局（金管局）8月28日举行Ensemble项目沙盒（沙盒）启动仪式，并宣布首阶段试验将涵盖四大代币化资产用例主题，标志着金融业在代币化技术的实际应用进程中迈出重要一步。

金管局已完成构建沙盒，旨在利用实验型代币化货币促进银行同业结算，并集中研究代币化资产交易。Ensemble项目架构工作小组的参与银行已将其代币化存款平台连接至沙盒，为日后开展跨行支付同步交收及货银两讫结算的实验做好准备。

The Hong Kong Monetary Authority (HKMA) hosted on 28 August the launch ceremony for Project Ensemble Sandbox (the Sandbox) and introduced four main themes of asset tokenisation use cases for the initial round of experimentation, marking a significant step forward in the advancement of tokenisation in real-world application within the financial sector.

The HKMA has completed the building and setup of the Sandbox, which is designed to facilitate interbank settlement using experimental tokenised money, focusing on transactions involving tokenised assets. Participating banks from the Project Ensemble Architecture Community (the Community) have connected their tokenised deposit platforms to the Sandbox, paving the way to conduct experiments for both interbank payment-versus-payment and delivery-versus-payment settlement.

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240828-3/

金融管理专员对Wechat Pay Hong Kong Limited违反《支付系统及储值支付工具条例》采取纪律处分行动（2024年8月30日）

香港金融管理局8月30日宣布已根据《支付系统及储值支付工具条例》（香港法例第584章）（《支付条例》）完成对Wechat Pay Hong Kong Limited的调查及纪律处分程序。金融管理专员对Wechat Pay Hong Kong Limited违反《支付条例》第8Q条，未能符合其附表3第2部第6(2)(b) 条的最低准则，处以875,000港元罚款。

The Hong Kong Monetary Authority (HKMA) announced on 30 August that it had completed an investigation and disciplinary proceedings for WeChat Pay Hong Kong Limited (WPHK) under the Payment Systems and Stored Value Facilities Ordinance (Chapter 584 of the Laws of Hong Kong) (PSSVFO).  The Monetary Authority (MA) has ordered WPHK to pay a pecuniary penalty of HK$875,000 for contravening section 8Q of the PSSVFO as it failed to fulfil the minimum criterion under section 6(2)(b) of Part 2 of Schedule 3 to the PSSVFO.

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240830-7/

按揭证券公司《2024年社会责任债券资金投放及效益报告》（2024年8月30日）

HKMC's Social Bonds Allocation Update and Impact Report 2024 (30 August 2024)

香港按揭证券有限公司（按揭证券公司）8月30日刊发《2024年社会责任债券资金投放及效益报告》（报告）。报告内容主要披露按揭证券公司在2022及2023年两次发行的社会责任债券于2024年6月30日的净资金分配，以及其社会效益。

The Hong Kong Mortgage Corporation Limited (HKMC) on 30 August published its Social Bonds Allocation Update and Impact Report 2024 (Report). The Report mainly discloses the allocation of the net proceeds of the two social bond issuances launched by the HKMC in 2022 and 2023, as well as their social impacts as of 30 June 2024. An Independent Practitioner's Limited Assurance Report was issued by PricewaterhouseCoopers on the reported allocation and selected information disclosed in the Report.

详见：

https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240830-9/

《监管政策手册》- 经修订单元CA-D-1“《银行业（披露）规则》的应用指引”（只备英文版本）（2024年8月6日）

Regulatory Policy Manual - Revised Module CAD-1 "Guidance on the Application of the Banking (Disclosure) Rules" (6 August 2024)

The purpose of this manual is to provide interpretative guidance to AIs on the application of the Banking (Disclosure) Rules. This Manual sets out the HKMA's supervisory policies and practices, the minimum standards AIs are expected to attain in order to satisfy the requirements of the Banking Ordinance and recommendations on best practices that AIs should aim to achieve. It is intended mainly for the reference of AIs, their auditors and advisors and the HKMA's supervisory staff. This Manual covers only selected parts of the Banking Ordinance. Further, it is neither possible nor is it our intention in a publication of this type to cover all of the ground and provide guidance for all eventualities.

详见：

https://www.hkma.gov.hk/media/gb_chi/doc/key-information/guidelines-and-circular/2024/20240806c1a1.pdf

气候相关风险管治的良好做法（只备英文版本）（2024年8月22日）

Good practices on climate-related risk governance (22 August 2024)

In December 2021, the Hong Kong Monetary Authority (HKMA) issued Supervisory Policy Manual (SPM) module GS-1 on “Climate Risk Management”, which sets out its supervisory expectations on climate risk management. The SPM module GS-1 provides high-level guidance to authorized institutions (AIs) on climate risk management, while allowing flexibility for AIs to tailor their own approaches to develop and enhance their framework and processes. This annex summarises key observations and provides a set of good practices in relation to climate-related risk governance identified by the HKMA over the course of its supervisory exercises.  Part A summarises HKMA's key observations and good practices for developing a robust governance structure to set out the responsibilities of the Board and senior management.  Part B summarises HKMA's key observations and good practices for ensuring robust oversight on the key aspects of climate-related risk issues.  These good practices may serve as a reference for AIs in considering further enhancements to their climate-related risk governance frameworks and processes.

详见：

https://www.hkma.gov.hk/media/gb_chi/doc/key-information/guidelines-and-circular/2024/20240822c1a1.pdf

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