{"id":51849,"date":"2015-06-14T00:10:03","date_gmt":"2015-06-13T16:10:03","guid":{"rendered":"http:\/\/www.interpreting.hku.hk\/glossary\/?p=51849"},"modified":"2017-07-28T11:37:00","modified_gmt":"2017-07-28T03:37:00","slug":"securities-and-futures-commission-sfc-%e8%ad%89%e5%88%b8%e5%8f%8a%e6%9c%9f%e8%b2%a8%e4%ba%8b%e5%8b%99%e7%9b%a3%e5%af%9f%e5%a7%94%e5%93%a1%e6%9c%83%ef%bc%88%e8%ad%89%e7%9b%a3%e6%9c%83%ef%bc%89","status":"publish","type":"post","link":"https:\/\/www.interpreting.hku.hk\/glossary\/?p=51849","title":{"rendered":"Securities and Futures Commission (SFC) \u8b49\u5238\u53ca\u671f\u8ca8\u4e8b\u52d9\u76e3\u5bdf\u59d4\u54e1\u6703\uff08\u8b49\u76e3\u6703\uff09"},"content":{"rendered":"<p>Securities and Futures Commission (SFC)<br \/>\n\u7e41\uff1a\u8b49\u5238\u53ca\u671f\u8ca8\u4e8b\u52d9\u76e3\u5bdf\u59d4\u54e1\u6703\uff08\u8b49\u76e3\u6703\uff09<br \/>\n\u7b80\uff1a\u8bc1\u5238\u53ca\u671f\u8d27\u4e8b\u52a1\u76d1\u5bdf\u59d4\u5458\u4f1a\uff08\u8bc1\u76d1\u4f1a\uff09<\/p>\n<blockquote><p>\u8000\u624d\u8b49\u5238\u570b\u969b(\u9999\u6e2f)\u56e0\u5bb9\u8a31\u520a\u767b\u4e00\u5247\u5305\u542b\u865b\u5047\u53ca\/\u6216\u5177\u8aa4\u5c0e\u6027\u8cc7\u6599\u7684\u5ee3\u544a\uff0c\u906d<strong>\u8b49\u5238\u53ca\u671f\u8ca8\u4e8b\u52d9\u76e3\u5bdf\u59d4\u54e1\u6703<\/strong>\u8b74\u8cac\u53ca\u7f70\u6b3e70\u842c\u5143\u3002<\/p><\/blockquote>\n<p>\u8b49\u76e3\u6703\u8b74\u8cac\u8000\u624d\u8b49\u5238\u4e26\u7f70\u6b3e70\u842c\uff082014\u5e747\u670829\u65e5\uff09\u3002<strong>\u4fe1\u5831<\/strong>\uff0c\u53d6\u81ea<a title=\"\u8b49\u5238\u53ca\u671f\u8ca8\u4e8b\u52d9\u76e3\u5bdf\u59d4\u54e1\u6703\uff08\u8b49\u76e3\u6703\uff09\" href=\"http:\/\/www2.hkej.com\/instantnews\/hongkong\/article\/405851\" target=\"_blank\">http:\/\/www2.hkej.com\/instantnews\/hongkong\/article\/405851<\/a><\/p>\n<blockquote><p>HSBC has been fined HK$2.5 million by Hong Kong\u2019s <strong>Securities and Futures Commission<\/strong> and publicly reprimanded for regulatory breaches when trading in futures and options contracts, and for failing to have sufficient internal controls in place to prevent such breaches occurring.<\/p><\/blockquote>\n<p>John, A. (2016, September 14). SFC fines HSBC HK$2.5 million for breaching trading rules. <em>South China Morning Post.\u00a0<\/em>Retrieved from\u00a0<a title=\"SFC\" href=\"http:\/\/www.scmp.com\/business\/banking-finance\/article\/2019361\/sfc-fines-hsbc-hk25-million-breaching-trading-rules\" target=\"_blank\">http:\/\/www.scmp.com\/business\/banking-finance\/article\/2019361\/sfc-fines-hsbc-hk25-million-breaching-trading-rules<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Securities and Futures Commission (SFC) <br \/>\u7e41\uff1a\u8b49\u5238\u53ca\u671f\u8ca8\u4e8b\u52d9\u76e3\u5bdf\u59d4\u54e1\u6703\uff08\u8b49\u76e3\u6703\uff09 <br \/>\u7b80\uff1a\u8bc1\u5238\u53ca\u671f\u8d27\u4e8b\u52a1\u76d1\u5bdf\u59d4\u5458\u4f1a\uff08\u8bc1\u76d1\u4f1a\uff09<\/p>\n","protected":false},"author":1,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[68,80],"tags":[],"class_list":["post-51849","post","type-post","status-publish","format-standard","hentry","category-all-terms-","category-business-economy-and-finance-"],"_links":{"self":[{"href":"https:\/\/www.interpreting.hku.hk\/glossary\/index.php?rest_route=\/wp\/v2\/posts\/51849","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.interpreting.hku.hk\/glossary\/index.php?rest_route=\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.interpreting.hku.hk\/glossary\/index.php?rest_route=\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.interpreting.hku.hk\/glossary\/index.php?rest_route=\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/www.interpreting.hku.hk\/glossary\/index.php?rest_route=%2Fwp%2Fv2%2Fcomments&post=51849"}],"version-history":[{"count":3,"href":"https:\/\/www.interpreting.hku.hk\/glossary\/index.php?rest_route=\/wp\/v2\/posts\/51849\/revisions"}],"predecessor-version":[{"id":65561,"href":"https:\/\/www.interpreting.hku.hk\/glossary\/index.php?rest_route=\/wp\/v2\/posts\/51849\/revisions\/65561"}],"wp:attachment":[{"href":"https:\/\/www.interpreting.hku.hk\/glossary\/index.php?rest_route=%2Fwp%2Fv2%2Fmedia&parent=51849"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.interpreting.hku.hk\/glossary\/index.php?rest_route=%2Fwp%2Fv2%2Fcategories&post=51849"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.interpreting.hku.hk\/glossary\/index.php?rest_route=%2Fwp%2Fv2%2Ftags&post=51849"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}