Page 60 - 期货和衍生品行业监管动态（2024年6月刊）
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期货和衍生品行业监管动态
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. 香港证券及期货业务监察委员会成立 35 周年及以后：以使命和愿景引领香
港资本市场（2024 年 6 月 19 日）
6 月 19 日，香港证券及期货业务监察委员会（SFC）发表《2023-24 年报》，
总结其在守护香港资本市场方面的工作，并纪念成立 35 周年。
《年报》重点讲述多项措施，以提升香港资本市场韧性和可持续发展，并巩
固香港作为国际金融中心的地位。《年报》也载述了 SFC 为协助资本市场迎接未
来机遇及应对挑战而制订的路线图。
SFC 主席雷添良先生表示：“凭借过去多年来取得的成果和宝贵经验，本会
将有力引领香港资本市场的发展。为达成这个目标，我们将一直坚守承诺，确保
市场的廉洁稳健和韧性，以应对香港、亚洲及全球出现的种种新趋势和新挑战。 ”
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