Hong Kong Securities and Futures Commission持牌规模创纪录新高
The Hong Kong Securities and Futures Commission published the "Quarterly Report" on February 17 (October to December 2016)。As of December 31 last year，Licensed Institution及人士和注册机构总数达到42,665，hit new high；持牌机构数目则上升11%至2,411家，Also set a new record。
上市监管谘询与电子化牌照申报要求
香港证监会正与香港交易及结算所有限公司（港交所）分析市场对改善上市监管决策及管治架构联合谘询的回应。at the same time，The Securities and Futures Commission is committed to implementing the mandatory regulations that came into effect on February 1, 2017，要求所有个人经证监会电子服务网站提交牌照申请、通知书及周年申报表。
双重存档制度下的上市申请审阅进展
Under the dual archiving system，For the nine months ended December，香港证监会协同港交所审阅了193宗上市申请，按年上升9%。
期内重点工作包括启动深港股票市场交易互联互通机制，以及香港证监会与瑞士金融市场监管局就基金互认安排签署协议，进一步推动跨境市场互联互通与基金产品互认安排的发展。
asset Management规管、销售透明度与高级管理层问责
Seasonal，Hong Kong Securities and Futures Commission launches public consultation on proposals to strengthen regulation of the asset management industry and transparency in sales，and issued a circular on measures for core functional managers，Aims to clarify the accountability of senior management of licensed institutions。
The SFC also issued two other circulars，进一步厘清持牌机构及人士现时为客户提供合理适当建议的责任，and provide relevant guidance。对持牌机构而言，销售流程、适当性评估、管理层职责及内部控制要求均将持续成为合规管理的重点。
rights issue、公开发售活动监管及纪律处分情况
also，香港证监会宣布正联同香港联合交易所有限公司（联交所）密切注意供股及公开发售活动，and review the relevant provisions of the Listing Rules。
Seasonal，SFC takes disciplinary action against five licensed institutions and 11 representatives，涉及罚款合共980万元。该等执法数据反映，香港金融监管环境持续强调持牌机构治理、业务操守、客户保障及市场秩序维护。
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