Page 56 - 期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)（2025年9月）
P. 56
期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
the proposed investor identification regime for the exchange-traded derivatives
market (HKIDR-DM) to further bolster the integrity and sustainable development of
Hong Kong’s capital markets.
Building upon the successful implementation of a similar regime for the
securities market (HKIDR-S) since March 2023, the proposed HKIDR-DM would
cover on-exchange orders for futures contracts, options contracts and stock options
traded through the Hong Kong Futures Exchange Limited’s trading system.
The HKIDR-DM would adopt a model similar to that of the HKIDR-S, under
which licensed corporations and registered institutions offering brokerage services or
conducting proprietary trading would be required to submit clients’ names and
identity information to a centralised data repository.
“To keep up with Hong Kong’s fast-growing derivatives market and align with
global best practices, the proposed extension of our investor identification regime
represents a major stride in detecting irregularities and protecting investors whilst
minimising operational burden on the industry,” said Mr Rico Leung, the SFC’s
Executive Director of Supervision of Markets.
“Our enhanced cross-market surveillance capabilities will help reinforce market
integrity and investors’ confidence – both essential in solidifying Hong Kong’s
sustainable development as an international financial centre,” he added.
The consultation period will last for three months. Interested parties are invited
to submit their feedback to the SFC on or before 22 December 2025 through the SFC
website (www.sfc.hk), via email at HKIDR-DM-consultation@sfc.hk, or by post.
https://apps.sfc.hk/edistributionWeb/gateway/EN/news-and-announcements/news/doc?
refNo=25PR151
42
