安杰世泽香港资本市场及金融监管动态
（2024年9月刊）
(Sep. 2024）
01 香港联交所执法动态
Enforcement updates of the HKEX
联交所对中国XX控股有限公司及五名前董事的纪律行动（2024年9月10日）
Exchange's Disciplinary Action against China XX Holdings Limited and Five Former Directors（September 10 2024）
违规事项
该公司主席批准了2016年承诺及2020年协议，但未有申报及避免他在有关交易中的利益冲突。他没有披露有关交易涉及其儿子的公司。他亦未有避免参与批准有关交易。
就批准有关交易事宜上，主席将其家族利益凌驾于该公司利益之上。他向董事会隐瞒了2016年承诺。他没有通知没参与批准2020年协议的董事有关该等协议。他亦未有采取行动促使该公司就有关交易遵守《上市规则》。
监管要点
董事必须采取行动避免任何利益冲突。董事任何时候都要将公司利益置于自身利益之上。
董事在批准任何交易前，必须独立判断有关交易是否符合公司利益。
董事有最大的责任确保公司遵守《上市规则》。过度依赖或不加思索地依赖公司员工意味董事未有以应有技能、谨慎和勤勉行事。
Breach
The company's chairman approved the 2016 undertaking and the 2020 agreements without declaring and avoiding his conflict of interest in the transactions. He did not disclose that the transactions involved his son's company. He also did not abstain from approving the transactions.
In approving the transactions, the chairman put the interest of his family over that of the Company. He concealed the 2016 undertaking from the board. He failed to inform the directors who were not involved in the approval of the 2020 agreements about the agreements. He also did not take steps to procure the Company's compliance with the Listing Rules in respect of the transactions.
Key Points of Supervision
Directors must take steps to avoid any conflicts of interests. They must always put the interest of the company above their own.
Directors must exercise independent judgement to evaluate whether a transaction is in the interest of the Company before approving any transaction.
Directors have the primary responsibility to ensure the company's compliance with the Listing Rules. Excessive or unquestioning reliance on staff of the company may amount to a failure by directors to exercise due skill, care and diligence.
详见：
https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/news/regulatory-announcements/2024/240910news?sc_lang=zh-cn
联交所对XX集团控股有限公司（已除牌）三名前任董事的纪律行动（9月24日）
Exchange's Disciplinary Action against Three Former Directors of XX Group Holdings Limited (Delisted)（September 24 2024）
违规事项
相关董事应注意到收购事项涉及重大风险，包括卖方及其相关人士未必会履行支付余款的责任，及／或物业工程未必可竣工。卖方的信用风险相当高。
相关董事未有就卖方及其相关人士的财务能力进行尽职审查，收购事项完成后亦未有妥善监察有关项目，包括相关款项的支付以及工程的进展。相关董事在收购事项中违反其以应有的技能、谨慎和勤勉行事的责任。
监管要点
董事必须主动积极地管理发行人的投资项目中的风险。董事应进行适当的尽职审查及风险评估，尤其是当涉及的风险明显较高时。
董事必须妥善监察投资项目。他们应确保能及时收到最新消息，并有机制确保发行人得知最新的情况。
Breach
The directors should have been aware that the acquisitions involved major risks, including that the vendors and their related parties might not fulfil the outstanding payment obligations, and/or the property construction might not be completed. The credit risk in respect of the vendors was material.
The directors failed to conduct due diligence in respect of the financial capability of the vendors and their related parties. The directors failed to properly monitor the projects after the acquisitions, including that payments were being made and the construction was progressing. The directors breached their duties to exercise reasonable skill, care and diligence in respect of the acquisitions.
Key Points of Supervision
Directors must take active steps to manage risks pertaining to investments of the issuer. They should conduct proper due diligence and risk assessment, particularly when the risks are evidently high.
Directors must properly monitor investment projects. They should ensure receipt of timely updates and that mechanisms are in place to keep the issuer informed.
详见：
https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/news/regulatory-announcements/2024/240924news?sc_lang=zh-cn
02 香港证监会执法动态
Enforcement updates of the SFC
证监会终身禁止林XX重投业界（2024年9月2日)
SFC bans Lam for life (2 September 2024)
违规事项
原讼法庭在2023年11月7日裁定林XX两项盗窃罪及两项处理已知道或相信为代表从可公诉罪行的得益的财产罪罪名成立，判处其监禁七年。
监管重点
林XX被判刑事罪名成立，促使证监会认为他并非获发牌或注册以进行受规管活动的适当人选。
Breach
Lam XX was sentenced by the Court of First Instance on 7 November 2023 to imprisonment of seven years after his convictions of two counts of theft and two counts of dealing with property known or believed to represent proceeds of an indictable offence.
Key Points of Supervision
Mr Lam's criminal convictions led the SFC to consider him not a fit and proper person to be licensed or registered to carry on regulated activities.
详见：https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=24PR143
证监会对XX医疗健康有限公司、前董事及事实董事展开法律程序（2024年9月4日）
SFC commences legal proceedings against XX Healthcare Limited, its former directors and de facto directors (4 September 2024)
违规事项
证监会经调查后揭发，有关交易并非经XX医疗集团与YY药业（卖方）公平磋商后进行，而该公司亦无计划变现有关交易的所述裨益。
证监会指曹XX违反了他们对XX医疗的责任，原因是两人(i)没有披露他们属事实董事；(ii)导致该公司在上述公告中发出有关卖方及其实益拥有人的独立性的虚假及／或具误导性资料；及(iii)将自己置身于个人利益与对XX医疗的责任之间出现冲突的处境。
监管重点
根据《证券及期货条例》第214条，若法庭裁定某公司的事务曾以（其中包括）涉及对该公司或其成员作出亏空、欺诈、不当行为或其他失当行为的方式处理，而某人须为此负全部或部分责任，则法庭可（其中包括）作出命令，取消该人担任任何法团董事的资格，或饬令该人不得直接或间接参与任何法团的管理，最长为期15年。法庭亦可作出它认为适当的其他命令。
Breach
the SFC's investigation reveals that the transaction was not negotiated at arm's length between XX Healthcare and YY Pharmaceutical, the vendor; and there was also no plan to realise the stated benefits of the transaction.
The SFC alleges that Cho and Hui breached their duties to XX Healthcare by (i) failing to disclose their de facto directorship; (ii) causing the company to publish false and/or misleading information in the announcement regarding the independence of the vendor and its beneficial owner; and (iii) placing themselves in a position of conflict between their interests and their duties towards XX Healthcare.
Key Points of Supervision
Under section 214 of the SFO, the court may, among other things, make orders to disqualify a person from being a director or being involved, directly or indirectly, in the management of any corporation for up to 15 years, if the person is found to be wholly or partly responsible for the company's affairs having been conducted in a manner, among other things, involving defalcation, fraud, misfeasance or other misconduct towards it or its members. The court may also make any other order it considers appropriate.
详见：
https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=24PR145
证监会向XX证券有限公司发出限制通知书以冻结与涉嫌企业失当行为有关的客户的帐户（2024年9月6日）
SFC issues restriction notice to XX Securities Limited to freeze account of client involved in suspected corporate misconduct (6 September 2024)
违规事项
XX证券并非证监会今次的调查对象，其亦已配合证监会的调查。有关限制通知书对XX证券或该行的其他客户并没有影响。
监管要点
证监会认为，发出有关限制通知书以保存该帐户内的资产属必要的做法，从而确保有资金应付法庭在证监会可能展开的法律程序中或会作出的任何命令，以及就维护投资大众的利益或公众利益而言是可取的。
Breach
The SFC is not investigating Kingston which has cooperated with the SFC's investigation. The restriction notice does not affect Kingston or its other clients.
Key Points of Supervision
The SFC considers that the issue of the restriction notice, which preserves the assets in the account, is necessary to ensure that there will be funds available to meet any potential order made by the Court in legal proceedings that may be brought by the SFC, and is desirable in the interest of the investing public or in the public interest.
详见：
https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=24PR146
法院就四名被告透过非法卖空进行证券欺诈案定下审讯日期（2024年9月12日）
Court sets trial date of four defendants for securities fraud via illegal short selling (12 September 2024）
违规事项
四名被告被指在2020年6月23日至2020年9月9日期间，多次欺骗XX证券有限公司（XX证券）的一名客户主任，向其讹称拥有某些股份，意图欺诈XX证券及诱使其就该等股份发出卖盘。四名被告因而获得330万元的利益，而XX证券亦蒙受不利或有相当程度的可能性会蒙受不利。
监管要点
根据《盗窃罪条例》第16A条，如某人藉作任何欺骗并意图诈骗而诱使他人作出任何作为或有任何不作为，而导致任何人获得利益或另一人蒙受不利或有相当程度的可能性会蒙受不利，即属犯罪。一经定罪，最高刑罚为监禁14年。
根据《证券及期货条例》第170(1)条，任何人在于认可证券市场或透过认可证券市场售卖证券时没有，或不相信或没有合理理由相信他具有一项即时可行使而不附有条件的权利，以将该等证券转归于其购买人名下，即属犯罪。
Breach
It is alleged that between 23 June 2020 and 9 September 2020, the four defendants deceived an account executive at CVP Securities Limited (CVP) on several occasions by falsely claiming ownership of certain shares with an intent to defraud and induce CVP to place selling orders for those shares. This resulted in benefit of $3.3 million to the four defendants or in prejudice or a substantial risk of prejudice to CVP.
Key Points of Supervision
Under section 16A of the Theft Ordinance, it is an offence for a person by any deceit and with intent to defraud induces persons to commit an act or make an omission which results in benefit to anyone else or in prejudice or a substantial risk of prejudice to another person. The maximum penalty on indictment is 14 years of imprisonment.
Under section 170(1) of the Securities and Futures Ordinance, it is an offence for a person to sell securities at or through a recognized stock market when he does not have, or does not believe or does not have reasonable grounds to believe that he has, a presently exercisable and unconditional right to vest the securities in the purchaser of them.
详见：
https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=24PR148
证监会达成首宗同类和解使XX控股有限公司公众股东获得赔偿（2024年9月16日）
SFC secures first-of-its-kind settlement to compensate public shareholders of XX Holdings Limited (16 September 2024）
违规事项
三名答辩人是吴XX（男）、廖XX（男）及李XX（男）。作为和解的一部分，证监会与该等答辩人已就一份事实陈述书达成协议，当中包括：
吴自2016年起曾为XX控股的幕后董事，而在关键时间的执行董事只有廖及李二人，他们遵循吴的指令和指示来经营XX控股的事务。
吴、廖及李致使XX控股于2016年和2017年订立收购两个附属公司集团的交易。
两个被收购的附属公司集团由吴所促致的虚构或虚假业务组成。
吴、廖及李亦致使XX控股在没有商业理由的情况下借贷，并支付约6,400万元的费用和利息。
吴、廖及李虚假地夸大了XX控股在2016年至2019年的多个会计期间的收益，并致使XX控股蒙受合共超过2.93亿元的损失。
基于上述理由，吴、廖及李违反了他们对XX控股负有的受信责任。
监管重点
《证券及期货条例》第212条规定，证监会如觉得将某公司清盘，就维护公众利益而言是可取的，可基于根据《公司条例》将该公司清盘属公正公平的理由而提出申请。
《证券及期货条例》第214条规定，如证监会觉得某上市法团的业务或事务曾以一种或多种订明的方式经营或处理，便可寻求（其中包括）法庭作出命令，饬令须为该等业务或事务曾如此经营或处理负全部或部分责任的人，在不超过15年的期间内，不得担任任何公司的董事，或直接或间接关涉任何公司的管理。
Breach
The three respondents are Mr Ng, Mr Liu and Mr Lee. Further, as part of the settlement, the SFC and the respondents have agreed to a statement of facts, which includes:
Ng was a shadow director of Combest since 2016, and Liu and Lee who were the only executive directors at the material time, followed Ng's directions and instructions to operate Combest's affairs.
Ng, Liu and Lee caused Combest to enter into acquisitions of two subsidiary groups in 2016 and 2017.
The two acquired subsidiary groups were comprised of fictitious or artificial businesses procured by Ng.
Ng, Liu and Lee also caused Combest to borrow loans and make payments of fees and interests of about $64 million for no commercial reasons.
Ng, Liu and Lee artificially inflated the revenue of Combest during various accounting periods between 2016 and 2019 and caused Combest to suffer a total loss of over $293 million.
By reason of the above, Ng, Liu and Lee breached their fiduciary duties owed to Combest.
Key Points of Supervision
Section 212 of the SFO provides that the SFC may apply to wind up a company under the Companies Ordinance on the ground that it is just and equitable to do so where it appears to the SFC that it is desirable in the public interest that the company should be wound up.
Section 214 of the SFO provides that where it appears to the SFC that the business or affairs of a listed corporation have been conducted in one or more prescribed manners, the SFC may seek, among other things, orders to disqualify individuals wholly or partly responsible for the business or affairs of the listed corporation having been so conducted from being a director, or being concerned, whether directly or indirectly, in the management, of any company for up to 15 years.
来源：
https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=24PR149
证监会禁止郑XX重投业界六个月（2024年9月23日）
SFC bans Cheng for six months (23 September 2024）
违规事项
证监会发现，郑在试图透过以下方式纠正交易执行错误时，曾以不诚实的手法将之隐瞒：
安排利便交易以买入尚欠的200万股股份，藉以满足客户的交易指示；
向参与执行利便交易的YY同事作出失实陈述，声称他已就有关交易取得客户的同意，但事实却非如此；及
向客户的帐户记入原有交易的较低价格，而非利便交易的较高价格，令YY更难侦测到有关错误。
证监会认为郑的行为违反了《操守准则》，而他并非获发牌的适当人选。
监管要点
证券及期货事务监察委员会持牌人或注册人操守准则》（《操守准则》）第1项一般原则（诚实及公平）及第2项一般原则（勤勉尽责）规定，持牌人或注册人在经营其业务时，应以诚实、公平、适当的技能、小心审慎和勤勉尽责的态度行事，以维护客户的最佳利益及确保市场廉洁稳健。
Breach
The SFC found that Cheng had acted dishonestly to conceal the trade execution error when he attempted to rectify it by:
arranging a facilitation trade to buy the under-executed two million shares to fill the client order;
misrepresenting to his YY's colleagues involved in the execution of the facilitation trade that he had obtained the client's consent for the trade when he had not; and
booking the lower price for the original trade to the client's account instead of the higher price for the facilitation trade which made it more difficult for YY to identify the error.
The SFC considers Cheng's conduct was in breach of the Code of Conduct and he is not fit and proper to be a licensed person.
Key Points of Supervision
General Principles 1 (Honesty and fairness) and 2 (Diligence) of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (Code of Conduct) require licensed or registered persons to act honestly, fairly, with due skill, care and diligence, and in the best interests of their clients and the integrity of the market, in conducting their business activities.
详见：
https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=24PR152
张XX因保荐人缺失遭证监会暂时吊销牌照九个月（2024年9月23日）
SFC suspends Cheung XX for nine months over sponsor failures (23 September 2024）
违规事项
证券及期货事务监察委员会（证监会）发现，张没有履行其作为YY保荐人主要人员、负责人员兼高级管理人员的职责，原因是他没有：
以适当的技能、小心审慎和勤勉尽责的态度处理有关的上市申请；
勤勉尽责地监督其下属执行长雄的保荐人工作；及
确保YY维持适当的操守标准。
监管要点
《证券及期货事务监察委员会持牌人或注册人操守准则》
《适用于申请或继续以保荐人和合规顾问身分行事的法团及认可财务机构的额外适当人选指引》
Breach
The SFC found that Cheung failed to discharge his duties as a sponsor principal, an RO and a member of the senior management of YY, in that he had failed to:
exercise due skill, care and diligence in handling the listing application in question;
diligently supervise his subordinates to carry out the sponsor work undertaken by YY; and
ensure the maintenance of appropriate standards of conduct by YY.
Key Points of Supervision
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission.
Additional Fit and Proper Guidelines for Corporations and Authorized Financial Institutions applying or continuing to act as Sponsors and Compliance Advisers.
详见：
https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=24PR153
证监会为XX Group Holdings Limited及YY控股有限公司的独立少数股东寻求股份回购令（2024年9月27日）
SFC seeks share repurchase order for independent minority shareholders of XX Group Holdings Limited and YY Holdings Limited (27 September 2024）
违规事项
证监会的调查发现，卢蓄意漠视适用的《上市规则》及《公司收购及合并守则》（《收购守则》）下的规定，及致使XX公司及YY公司在2024年初订立协议以处置它们于俄罗斯的资产。两家公司处置俄罗斯资产的计划将构成《上市规则》所指的非常重大的出售事项。
虽然处置资产的计划已经终止，但证监会指称卢没有（除其他事项外）向XX公司及YY公司以及它们的股东披露所有相关的重要资料；以合理的技巧、小心谨慎和勤勉尽责的态度履行他作为两家公司董事的职责；及确保两家公司全面遵从《上市规则》及《收购守则》。
监管要点
根据《证券及期货条例》第214(2)(d)条，法庭可作出命令，饬令某名被裁定须为某公司的事务曾以涉及对该公司或其成员作出不当行为或其他失当行为的方式处理负全部或部分责任的人，不得担任或留任董事，或以任何方式直接或间接关涉或参与任何法团的管理，最长为期15年。
根据《证券及期货条例》第214(2)(e)条，法庭可“作出它认为适当的其他命令，不论是命令对该法团将来的业务或事务的经营或处理作出规管，或是命令……由该法团的任何成员购买其他成员的股份……”。
Breach
The SFC's investigation found that Lo deliberately disregarded the applicable Listing Rules and the requirements under the Code on Takeovers and Mergers (Takeovers Code) and caused both XX and YY to enter into agreements to dispose of their assets in Russia in early 2024. The planned disposal of assets in Russia by both companies would have been considered a very substantial disposal under the Listing Rules. In particular, Lo.
Although the planned disposal of assets was terminated, the SFC alleges that Lo failed to, among other things, disclose all relevant material information to XX and YY and their shareholders; apply reasonable skill, care and diligence in the performance of his duties as director of both companies; and ensure their full compliance with the Listing Rules and the Takeovers Code.
Key Points of Supervision
Section 214(2)(d) of the SFO provides that the Court may order that a person found to be wholly or partly responsible for the company's affairs having been conducted in a manner involving misfeasance or other misconduct towards it or its members, shall not be, or continue to be, a director, or in any way, whether directly or indirectly, be concerned, or take part, in the management of any corporation for a period of up to 15 years.
Section 214(2)(e) of the SFO provides that the Court may “make any other order it considers appropriate, whether for regulating the conduct of the business or affairs of the corporation in future, or for the purchase of the shares of any members of the corporation by other members of the corporation…”.
详见：
https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=24PR157
证监会谴责XX证券有限公司违反监管规定并处以罚款399万元（2024年9月30日）
SFC reprimands and fines XX Securities $3.99 million for regulatory breaches (30 September 2024）
违规事项
XX证券的上述缺失构成违反《证券及期货条例》、《证券及期货（发牌及注册）（资料）规则》、《证券及期货（客户证券）规则》及《操守准则》。
监管要点
《证券及期货事务监察委员会持牌人或注册人操守准则》
Breach
The above-mentioned failures of XX Securities constituted breaches of the SFO, the Securities and Futures (Licensing and Registration) (Information) Rules, the Securities and Futures (Client Securities) Rules and the Code of Conduct.
Key Points of Supervision
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission.
详见：
https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=24PR158
03 香港联交所其他动态
Other updates of HKEX
Part1
企业新闻 Corporate News Releases
香港交易所宣布成立综合基金平台专责小组（2024年9月20日）
HKEX Announces Establishment of Integrated Fund Platform Task Force (20 September 2024)
香港交易及结算所有限公司（香港交易所）于2024年9月20日（星期五）宣布成立综合基金平台专责小组（专责小组）。小组汇集基金分销行业中多方专业人士及参与者，以促进在香港建立更具效率、更多元化、更蓬勃的基金分销生态圈。
On 20 September 2024, Hong Kong Exchanges and Clearing Limited (HKEX) is pleased to announce the establishment of the Integrated Fund Platform (IFP) Task Force (Task Force), bringing together key industry stakeholders to support the development of a more efficient, diverse and vibrant fund distribution ecosystem in Hong Kong.
详见：
https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/news/news-release/2024/240920news?sc_lang=zh-cn
没收未领取的 2018 年度第一次中期股息（2024年9月20日）
Forfeiture of Unclaimed First Interim Dividend for 2018 (20 September 2024)
香港交易及结算所有限公司（「香港交易所」）于2024年8月2日宣布，根据香港交易所《组织章程细则》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。因此，仍未被领取的2018年度第一次中期股息合共18,268,406.07港元已于当天被没收并复归香港交易所。
On 2 August 2024, Hong Kong Exchanges and Clearing Limited (“HKEX”) announced that, pursuant to HKEX's Articles of Association, the first interim dividend for 2018 of HK$3.64 per share, payable on 20 September 2018 and remaining unclaimed on 20 September 2024, would be forfeited and would revert to HKEX. Accordingly, the unclaimed first interim dividend for 2018 amounting to HK$18,268,406.07 is forfeited and reverts to HKEX that day.
详见：
https://www.hkex.com.hk/-/media/HKEX-Market/News/News-Release/2024/2409202news/2409202news_c.pdf
Part 2
市场通讯 Market Communications
美高梅中国结构性产品及期权调整（2024年9月2日）
Adjustment of MGM China Structured Products and Options (2 September 2024)
香港交易及结算所有限公司（香港交易所）因应美高梅中国控股有限公司（美高梅中国）派发特别股息，宣布美高梅中国结构性产品及期权合约的调整安排。
所有以美高梅中国股份作为相关资产的现有结构性产品的上市文件均载有处理相关股份现金分派（包括特别股息）的条文。结构性产品发行商将于2024年9月10日晚上就有关调整（包括经调整的权利、经调整的行使价）发出公告，投资者应细阅有关公告的内容。
Hong Kong Exchanges and Clearing Limited (HKEX) has announced the arrangements for the adjustment to MGM China Holdings Limited (MGM China) structured products and options to account for MGM China's special dividend issuance.
The listing documents of all existing structured products with the shares of MGM China as underlying asset contain provisions that deal with a cash distribution including a special dividend. Structured product issuers will make announcements in the evening of 10 September 2024 regarding the relevant adjustments (including the adjusted entitlement, adjusted exercise price) and investors should read the contents of such announcements.
详见：
https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/Market-Communications/2024/240902news?sc_lang=zh-HK
有关首次公开招股申请、除牌和停牌公司之报告（2024年9月30日）
Report on Initial Public Offering Applications, Delisting and Suspensions (30 September 2024)
该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 (HKEX)'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://www.hkex.com.hk/News/Market-Communications/2024/240930news?sc_lang=en
Part 3
监管通讯 Regulatory Announcements
通告– 关于XX控股（香港）有限公司 （于香港注册成立之有限公司）取消上市地位（9月13日）
Announcement – In relation to the matter of XX Holdings (HK) Limited (Incorporated in Hong Kong with limited liability) Cancellation of listing (13 September 2024）
联交所宣布，由2024年9月17日上午9时起，XX控股（香港）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11月29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5月28日或之前复牌，联交所可将该公司除牌。
该公司未能于2024年5月28日或之前履行联交所订下的复牌指引而复牌。于2024年6月14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 17 September 2024, the listing of the shares of XX Holdings (HK) Limited (the Company) will be cancelled under Rule 6.01A(1).
Trading in the Company’s shares has been suspended since 29 November 2022. Under Rule 6.01A(1), the Exchange may delist the Company if trading does not resume by 28 May 2024.
The Company failed to fulfill the resumption guidance set by the Exchange and resume trading in its shares by 28 May 2024. On 14 June 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/2024/240913news?sc_lang=zh-cn
04 9月份IPO快讯
September IPO News
05 香港金管局监管动态
Enforcement updates of the HKMA
社交媒体页面通知 – 有关新加坡银行有限公司的欺诈社交媒体页面（2024年9月5日）
Social Media Page Alert – Fraudulent social media page related to Bank of Singapore Limited (5 September 2024）
香港金融管理局（金管局）呼吁市民提高警觉，留意一个由新加坡银行有限公司所发出关于欺诈社交媒体页面的新闻稿，有关银行已向金管局汇报事件。连接至该新闻稿的超连结已上载于金管局网站。
金管局提醒公众，银行不会透过短讯或电邮超连结，引领他们到其网站进行交易，更不会以电话、电邮及手机短讯（包括以超连结方式），要求客户提供任何敏感的个人资料（包括登入密码和一次性密码）。
The Hong Kong Monetary Authority (HKMA) wishes to alert members of the public to a press release issued by Bank of Singapore Limited relating to a fraudulent social media page, which has been reported to the HKMA. A hyperlink to the press release is available on the HKMA website.
The HKMA wishes to remind the public that banks will not send SMS or emails with embedded hyperlinks which direct them to the banks’ websites to carry out transactions. They will not ask customers for sensitive personal information, such as login passwords or One-Time Password, by phone, email or SMS (including via embedded hyperlinks).
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240905-3/
短讯通知 – 有关WeChat Pay Hong Kong Limited的”网络钓鱼“短讯（2024年9月5日）
Instant Message Alert – Phishing messages related to WeChat Pay Hong Kong Limited (5 September 2024)
香港金融管理局（金管局）呼吁市民提高警觉，留意一个由WeChat Pay Hong Kong Limited所发出关于“网络钓鱼”短讯的新闻稿。有关储值支付工具持牌人已向金管局汇报事件。
金管局提醒公众，任何人士若曾向有关短讯提供其个人或户口资料，或曾透过有关短讯进行任何交易，应联络有关储值支付工具持牌人，并向警方报案，或联络警方的反诈骗协调中心（电话号码：18222）。
The Hong Kong Monetary Authority (HKMA) wishes to alert members of the public to a press release issued by WeChat Pay Hong Kong Limited relating to phishing messages. The relevant stored value facility (SVF) licensee has reported the case to the HKMA.
The HKMA wishes to remind the public that anyone who has provided his or her personal information or account credentials, or who has conducted any financial transactions, in response to the instant messages concerned, should contact the relevant SVF licensee, and report to the Police or contact the Anti-Deception Coordination Centre of the Police at 18222.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240801-4/
香港最新外汇储备资产数字（2024年9月6日）
Hong Kong’s Latest Foreign Currency Reserve Assets Figures Released (6 September 2024)
香港金融管理局（金管局）9月6日公布，香港于2024 年8月底的官方外汇储备资产为4,234亿美元（2024年7月底为4,191亿美元）。
连同未交收外汇合约在内，香港于2024年8月底的外汇储备资产为4,228亿美元（2024年7月底为4,185亿美元）。
The Hong Kong Monetary Authority (HKMA) announced on 6 September that the official foreign currency reserve assets of Hong Kong amounted to US$423.4 billion as at the end of August 2024 (end-July 2024: US$419.1 billion) (Annex).
Including unsettled foreign exchange contracts, the foreign currency reserve assets of Hong Kong at the end of August 2024 amounted to US$422.8 billion (end-July 2024: US$418.5 billion).
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240906-3/
金融管理专员暂时中止李硕腾的注册九个月（2024年9月6日）
Monetary Authority suspends registration of LI Shek Tang for nine months (6 September 2024)
金融管理专员已经根据《银行业条例》（香港法例第155章）第58A(1)条对李硕腾先生（李先生）采取纪律处分行动，暂时中止李先生载于香港金融管理局（金管局）根据上述条例第20(1)(ea)条所备存的纪录册（纪录册）中的所有有关资料，为期九个月，即由2024年9月4日起至2025年6月3日止。
The Monetary Authority (MA) has taken disciplinary action against Mr LI Shek Tang (LI) pursuant to section 58A (1) of the Banking Ordinance (Chapter 155 of the Laws of Hong Kong) (BO) and suspended all of LI's relevant particulars from the register maintained by the Hong Kong Monetary Authority (HKMA) under section 20(1)(ea) of the BO (Register) for a period of nine months from 4 September 2024 to 3 June 2025 .
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240906-4/
电邮通知 – 有关众安银行有限公司的伪冒电邮（2024年9月10日）
Email Alert – Phishing emails related to ZA Bank Limited (10 September 2024)
香港金融管理局（金管局）呼吁市民提高警觉，留意一个由众安银行有限公司所发出关于伪冒电邮的新闻稿，有关银行已向金管局汇报事件。连接至该新闻稿的超连结已上载于金管局网站。
The Hong Kong Monetary Authority (HKMA) wishes to alert members of the public to a press release issued by ZA Bank Limited relating to phishing emails, which have been reported to the HKMA. A hyperlink to the press release is available on the HKMA website.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240910-4/
短讯通知 – 有关香港上海汇丰银行有限公司的”网络钓鱼“短讯（2024年9月11日）
Instant Message Alert – Phishing instant messages related to The Hongkong and Shanghai Banking Corporation Limited (11 September 2024)
香港金融管理局（金管局）呼吁市民提高警觉，留意一个由香港上海汇丰银行有限公司所发出关于“网络钓鱼”短讯的新闻稿，有关银行已向金管局汇报事件。连接至该新闻稿的超连结已上载于金管局网站。
The Hong Kong Monetary Authority (HKMA) wishes to alert members of the public to a press release issued by The Hongkong and Shanghai Banking Corporation Limited relating to phishing instant messages, which have been reported to the HKMA. A hyperlink to the press release is available on the HKMA website.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240911-3/
按揭证券公司发行第二批基建贷款抵押证券（2024年9月11日）
HKMC's second infrastructure loan-backed securities issuance (11 September 2024)
香港按揭证券有限公司（按揭证券公司）于9月11日宣布成功发行第二批基建贷款抵押证券。这次发行是通过特设公司 Bauhinia ILBS 2 Limited进行。按揭证券公司曾于2023年5月成功发行首批基建贷款抵押证券。Bauhinia系列证券的发行为专业投资者提供一个投资横跨不同地域和行业的多元化项目和基建贷款机会。
The Hong Kong Mortgage Corporation Limited (HKMC) announced on 11 September the successful completion of its second infrastructure loan-backed securities (ILBS) issuance. This is executed through a special purpose vehicle (SPV), Bauhinia ILBS 2 Limited (Bauhinia 2) and it follows the success of the HKMC's first ILBS issuance in May 2023. The Bauhinia issuances offer professional investors exposure to a diversified portfolio of project and infrastructure loans across multiple geographies and sectors.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/08/20240806-3/
电邮通知 – 有关香港上海汇丰银行有限公司的伪冒电邮（2024年9月12日）
Email Alert – Phishing emails related to The Hongkong and Shanghai Banking Corporation Limited (12 September 2024)
香港金融管理局（金管局）呼吁市民提高警觉，留意一个由香港上海汇丰银行有限公司所发出关于伪冒电邮的新闻稿，有关银行已向金管局汇报事件。连接至该新闻稿的超连结已上载于金管局网站。
The Hong Kong Monetary Authority (HKMA) wishes to alert members of the public to a press release issued by The Hongkong and Shanghai Banking Corporation Limited relating to phishing emails, which have been reported to the HKMA. A hyperlink to the press release is available on the HKMA website.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240912-3/
香港金管局债务工具中央结算系统与澳门金管局属下中央证券托管系统建立直接联网（2024年9月16日）
Establishment of direct linkage between Central Moneymarkets Unit of HKMA and Macao Central Securities Depository and Clearing Limited of AMCM (16 September 2024）
为促进香港与澳门两地债券市场的发展，香港金融管理局（香港金管局）和澳门金融管理局（澳门金管局）9月16日联合宣布，香港金管局的债务工具中央结算系统（CMU）与澳门中央证券托管结算一人有限公司（澳门金管局属下全资拥有的附属公司）负责营运的中央证券托管系统将建立直接联网。
To promote the development of bond markets in Hong Kong and Macao, the Hong Kong Monetary Authority (HKMA) and the Monetary Authority of Macao (AMCM) on 16 September jointly announced the establishment of a direct linkage between the Central Moneymarkets Unit (CMU) of the HKMA and the central securities depository (CSD) operated by Macao Central Securities Depository and Clearing Limited (MCSD), a wholly-owned subsidiary of the AMCM.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240916-3/
香港金融管理局与迪拜金融服务管理局合办会议加强可持续金融合作（2024年9月16日）
HKMA and DFSA hold joint conference to strengthen sustainable finance collaboration (16 September 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）于9月16日合办首届联合气候金融会议。会议于香港举行，并设线上参与，吸引两地超过240名来自金融机构、行业协会、国际组织的嘉宾参与。
会议主题为“建设亚洲——中东净零走廊”，探讨转型金融的需求及资金缺口。会议亦讨论了香港及迪拜市场进一步合作的机遇，聚焦各自对于净零转型以及相关投资的愿景。
The Hong Kong Monetary Authority (HKMA) and the Dubai Financial Services Authority (DFSA) concluded their inaugural Joint Climate Finance Conference on 16 September. The hybrid conference, which took place in Hong Kong, brought together more than 240 participants from financial institutions, industry associations, and international organisations across both regions.
Under the theme “Building a Net-Zero Asia – Middle East Corridor”, the event discussed the demand for, and the gap in, transition finance, and explored the opportunity for greater collaboration between Hong Kong and Dubai. It highlighted the vision for the net-zero transition in each market, and for encouraging investment into the transition.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240916-4/
社交媒体帐户及即时讯息通知 – 有关上海商业银行有限公司的欺诈社交媒体帐户及”网络钓鱼“即时讯息(2024年9月17日）
Social Media Account and Instant Message Alert – Fraudulent social media account and phishing instant messages related to Shanghai Commercial Bank Limited (17 September 2024)
香港金融管理局（金管局）呼吁市民提高警觉，留意一个由上海商业银行有限公司所发出关于欺诈社交媒体帐户及“网络钓鱼”即时讯息的新闻稿，有关银行已向金管局汇报事件。连接至该新闻稿的超连结已上载于金管局网站。
The Hong Kong Monetary Authority (HKMA) wishes to alert members of the public to a press release issued by Shanghai Commercial Bank Limited relating to a fraudulent social media account and phishing instant messages, which have been reported to the HKMA. A hyperlink to the press release is available on the HKMA website.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240917-4/
调整基本利率（2024年9月19日）
Adjustment of Base Rate (19 September 2024)
香港金融管理局（金管局）9月19日宣布，基本利率根据预设公式定于5.25厘，即时生效。
基本利率是用作计算经贴现窗进行回购交易时适用的贴现率的基础利率。目前基本利率定于当前的美国联邦基金利率目标区间的下限加50基点，或隔夜及1个月香港银行同业拆息的5天移动平均数的平均值，以较高者为准。
The Hong Kong Monetary Authority (HKMA) announced on 19 September that the Base Rate has been set at 5.25% with immediate effect according to a pre-set formula.
The Base Rate is the interest rate forming the foundation upon which the Discount Rates for repurchase transactions through the Discount Window are computed. The Base Rate is currently set at either 50 basis points above the lower end of the prevailing target range for the US federal funds rate or the average of the five-day moving averages of the overnight and one-month Hong Kong Interbank Offered Rates (HIBORs), whichever is the higher.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240919-4/
网站及社交媒体帐户通知 – 有关大众财务有限公司的欺诈网站及社交媒体帐户（2024年9月19日）
Website and Social Media Account Alert – Fraudulent website and social media account related to Public Finance Limited (19 September 2024)
香港金融管理局（金管局）呼吁市民提高警觉，留意一个由大众财务有限公司所发出关于欺诈网站及社交媒体帐户的新闻稿，有关银行已向金管局汇报事件。连接至该新闻稿的超连结已上载于金管局网站。
The Hong Kong Monetary Authority (HKMA) wishes to alert members of the public to a press release issued by Public Finance Limited relating to a fraudulent website and a social media account, which has been reported to the HKMA. A hyperlink to the press release is available on the HKMA website.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240919-5/
证监会与金管局的联合调查显示2023年投资产品销售强劲反弹（2024年9月20日）
SFC-HKMA joint survey shows strong rebound in sales of investment products in 2023 (20 September 2024)
证券及期货事务监察委员会（证监会）与香港金融管理局（金管局）就持牌法团和注册机构的非交易所买卖投资产品销售活动进行的联合调查显示，总交易额由2022年的37,990亿元增至2023年的43,380亿元，增幅达14%。
A joint survey by the Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) on the sales of non-exchange-traded investment products by licensed corporations (LCs) and registered institutions (RIs) showed a 14% increase in total transaction to $4,338 billion in 2023 from $3,799 billion in 2022.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240920-3/
2024年8月底综合利率（2024年9月20日）
Composite Interest Rate: End of August 2024 (20 September 2024)
香港金融管理局（金管局）9月20日公布2024年8月底的综合利率。
反映银行平均资金成本的综合利率在2024年8月底为2.52厘，较2024年7月底的2.58厘下跌6基点。综合利率下跌，主要反映月内存款及银行同业资金的加权资金成本减少。
The Hong Kong Monetary Authority (HKMA) announced on 20 September the composite interest rate at the end of August 2024.
The composite interest rate, which is a measure of the average cost of funds of banks, decreased by 6 basis points to 2.52% at the end of August 2024, from 2.58% at the end of July 2024. The decrease in composite interest rate mainly reflected the decreases in the weighted funding cost for deposits and interbank funds during the month.
详见：
https://www.hkma.gov.hk/eng/news-and-media/press-releases/2024/09/20240920-5/
流动应用程式通知 – 有关新加坡银行有限公司的欺诈流动应用程式（2024年9月20日）
Mobile Application (App) Alert – Fraudulent mobile application (App) related to Bank of Singapore Limited (20 September 2024)
香港金融管理局（金管局）呼吁市民提高警觉，留意一个由新加坡银行有限公司所发出关于欺诈流动应用程式的新闻稿，有关银行已向金管局汇报事件。连接至该新闻稿的超连结已上载于金管局网站。
The Hong Kong Monetary Authority (HKMA) wishes to alert members of the public to a press release issued by Bank of Singapore Limited relating to a fraudulent App, which has been reported to the HKMA. A hyperlink to the press release is available on the HKMA website.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240920-6/
金管局启动“数码港元”先导计划第二阶段并扩展“数码港元”项目以探索新型数码货币（2024年9月23日）
HKMA commences Phase 2 of e-HKD Pilot Programme and expands Project e-HKD to explore new forms of digital money (23 September 2024)
香港金融管理局（金管局）9月23日启动“数码港元”先导计划第二阶段（第二阶段），进一步探索可供个人及企业使用的新型数码货币（包括“数码港元”和“代币化存”）的创新用例。随着“数码港元”项目的研究由“数码港元”扩展至对数码货币生态系统更全面的探索，项目易名为“数码港元+”，反映金管局紧贴金融科技发展的新形势，以全面发挥数码货币的潜能。
The Hong Kong Monetary Authority (HKMA) on 23 September commenced Phase 2 of the e-HKD Pilot Programme (Phase 2) to delve deeper into innovative use cases for new forms of digital money, including e-HKD and tokenised deposits, that can potentially be used by individuals and corporates. As Project e-HKD expands its coverage from e-HKD only to a more comprehensive exploration of the digital money ecosystem, the project has been renamed as Project e-HKD+, reflecting the evolving fintech landscape and the HKMA's commitment to unlocking the full potential of digital money.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240923-3/
国家发展和改革委员会利用外资和境外投资司与香港金融管理局合办“支持中资企业在港发债政策宣介会”（2024年9月24日）
NDRC's Department of Foreign Capital and Overseas Investment and HKMA jointly hold seminar on “Supporting Mainland enterprises' cross-border financing in Hong Kong” (24 September 2024)
国家发展和改革委员会（国家发改委）利用外资和境外投资司（外资司）与香港金融管理局（金管局）9月24日在香港联合举办“支持中资企业在港发债政策宣介会”（宣介会）。国家发改委外资司司长郑持平与会并致辞，国家发改委宣介团进行有关支持中资企业境外发债的政策宣讲。
The National Development and Reform Commission's (NDRC) Department of Foreign Capital and Overseas Investment and the Hong Kong Monetary Authority (HKMA) jointly held a seminar in Hong Kong on “Supporting Mainland enterprises' cross-border financing in Hong Kong” on 24 September. Mr Zheng Chiping, Director-General of the NDRC's Department of Foreign Capital and Overseas Investment, addressed the seminar in person. The NDRC delegation delivered a policy briefing on supporting the issuance of offshore debt by Mainland enterprises.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240924-4/
网站及社交媒体页面通知 – 有关大新银行有限公司的欺诈网站及社交媒体页面(2024年9月24日）
Website and Social Media Page Alert – Fraudulent website and social media page related to Dah Sing Bank, Limited (24 September 2024)
香港金融管理局（金管局）呼吁市民提高警觉，留意一个由大新银行有限公司所发出关于欺诈网站及社交媒体页面的新闻稿，有关银行已向金管局汇报事件。连接至该新闻稿的超连结已上载于金管局网站。
The Hong Kong Monetary Authority (HKMA) wishes to alert members of the public to a press release issued by Dah Sing Bank, Limited relating to a fraudulent website and a social media page, which have been reported to the HKMA. A hyperlink to the press release is available on the HKMA website.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240924-5/
电邮通知 – 有关香港上海汇丰银行有限公司的伪冒电邮(2024年9月25日）
Email Alert – Phishing emails related to The Hongkong and Shanghai Banking Corporation Limited (25 September 2024)
香港金融管理局（金管局）呼吁市民提高警觉，留意一个由香港上海汇丰银行有限公司所发出关于伪冒电邮的新闻稿，有关银行已向金管局汇报事件。连接至该新闻稿的超连结已上载于金管局网站。
The Hong Kong Monetary Authority (HKMA) wishes to alert members of the public to a press release issued by The Hongkong and Shanghai Banking Corporation Limited relating to phishing emails, which have been reported to the HKMA. A hyperlink to the press release is available on the HKMA website.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240925-4/
金管局与证监会就优化香港场外衍生工具汇报制度的进一步建议发表咨询总结（2024年9月26日）
HKMA and SFC conclude on further proposals to enhance Hong Kong's OTC derivatives reporting regime (26 September 2024)
香港金融管理局（金管局）与证券及期货事务监察委员会（证监会）9月26日就优化香港的场外衍生工具汇报制度的进一步咨询，联合发表总结文件。
为紧贴国际发展，金管局与证监会在2024年3月就强制使用独特交易识别编码和独特产品识别编码以及汇报关键数据元素，展开进一步咨询。这些建议是为配合二十国集团对改革场外衍生工具市场的承诺而制订的，并有助监管机构分析场外衍生工具交易。
The Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) on 26 September jointly published the conclusions paper on a further consultation on enhancements to the over-the-counter (OTC) derivatives reporting regime in Hong Kong.
To keep up with international developments, the HKMA and the SFC launched the further consultation in March 2024 on mandating the use of Unique Transaction Identifier and Unique Product Identifier and the reporting of Critical Data Elements. This is in line with the Group of Twenty's commitment to reform OTC derivatives markets, and will facilitate the analysis of OTC derivatives transactions by regulators.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240926-3/
网站通知 – 有关中国银行（香港）有限公司的欺诈网站(2024年9月27日）
Website Alert – Fraudulent website related to Bank of China (Hong Kong) Limited (27 September 2024)
香港金融管理局（金管局）呼吁市民提高警觉，留意一个由中国银行（香港）有限公司所发出关于欺诈网站的新闻稿，有关银行已向金管局汇报事件。连接至该新闻稿的超连结已上载于金管局网站。
The Hong Kong Monetary Authority (HKMA) wishes to alert members of the public to a press release issued by Bank of China (Hong Kong) Limited relating to a fraudulent website, which has been reported to the HKMA. A hyperlink to the press release is available on the HKMA website.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240927-5/
认可机构为协助防范或侦测罪案而交换讯息的咨询总结（2024年9月30日）
Consultation conclusions on information sharing among Authorized Institutions to aid in prevention or detection of crime (30 September 2024)
香港金融管理局（金管局）9月30日发表有关认可机构为协助防范或侦测罪案而交换讯息的公众咨询总结（总结文件）。总结文件概述收到的主要意见、金管局的回应以及落实金管局建议的下一步措施。
The Hong Kong Monetary Authority (HKMA) published on 30 September the conclusions of the public consultation on a proposal for information sharing among Authorized Institutions (AIs) to aid in prevention or detection of crime (Conclusions Document). The Conclusions Document sets out the main comments received, the HKMA's responses, and the next steps on taking forward the HKMA's proposal.
详见：
https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2024/09/20240930-4/
生成式人工智能沙盒（只备英文版本）（2024年9月20日）
Generative Artificial Intelligence Sandbox (20 September 2024)
Following previous industry consultations, Hong Kong Monetary Authority has finalised the revisions to the following Supervisory Policy Manual (“SPM”) modules and banking returns with their respective Completion Instructions (“CIs”).
详见：
https://www.hkma.gov.hk/media/eng/doc/key-information/guidelines-and-circular/2024/20240920e1.pdf
大额风险承担：经修订《监管政策手册》单元及银行业申报表（2024年09月26日）
Large exposures: revised SPM modules and banking returns (26 September 2024)
经咨询业界后，银行政策部已完成对《监管政策手册》单元及银行业申报表连同相关填报指示的修订。
Following previous industry consultations, Hong Kong Monetary Authority has finalised the revisions to the following Supervisory Policy Manual (SPM) modules and banking returns with their respective Completion Instructions (CIs).
详见：
https://www.hkma.gov.hk/media/gb_chi/doc/key-information/guidelines-and-circular/2024/20240926c1.pdf
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