证监会程序覆检委员会倡降低前置式监管对市场负面影响
证监会程序覆检委员会在2018至2019年度周年报告中指出,证监会未来会更频密作出行动,以及早介入处理市场违规行为,预期行动可能会对市场正常运作造成影响,因此提醒证监会须留意前置式监管方针可能带来的非预期影响,并提议应研究方法把此等影响减至最低。
委员会从证监会提交的每月已完结个案列表中,选取60宗个案进行覆检,个案包括企业融资部可无限索取上市公司有关记录及文件的权力,认为或对正常市场活动造成负面影响;因人事变动而须进行工作交接令整体调查程序延长等。
就涉及海外人员和跨境失当行为的调查,委员会建议证监会应考虑与入境处签订谅解备忘录。此外,覆检委员会建议证监会扩充市场专家及资深大律师名单,避免出现寻找专业意见遇困难的情况。
覆检委员会主席李金鸿表示,乐见近年证监会采取不同措施优化其执法、发牌及投资产品等范畴的工作程序和步骤,以提高运作效率和透明度,留意到新措施有效改善调查程序,未来会继续提醒证监会加强内部沟通。
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