HKSI Institute AR2021

29 香港證券及投資學會 二零二一年年報 Quality Assurance and Standards Enhancement As part of our stringent quality assurance policies and internal control procedures to uphold and enhance the quality and standards of our offerings, we conducted periodical reviews and updates of our study manuals and examination questions. During the period under review, six study manuals and its question banks were updated to reflect the latest regulatory and market development which included • S FC ’ s e n h a n c eme n t s t o investor compensation regime • SFC’ s l i cens i ng gu i dance for family offices and private equity firms and circular about regulatory requirements for using external electronic data storage • amendments to SFC’s Code on Open-ended Fund Companies • updates in SFC’s Code of Conduct related to over-the- counter derivatives 質素保證與提升標準 為保持以至提升各項考試及課程的質 素和標準，學會奉行嚴謹的質素保證 政策及內部監管程序，定期審視並更 新溫習手冊和試題。 報告期內，我們更新了 6 套溫習手冊及 其試題庫，以反映下述最新監管要求 及市場發展： • 證監會優化投資者賠償制度的措 施； • 證監會有關家族辦公室及私募股 本公司申領牌照的指引，以及關 於使用外間電子數據儲存的通 函； • 證監會對《開放式基金型公司守 則》的修訂； • 證監會更新與場外衍生工具有關 的操守準則； • 港交所引入的無紙證券市場監管 架構，以及對開市前時段和市場 波動調節機制的優化措施； • 《上市規則》中關於《環境、社會 及管治報告指引》的修訂； • 擴大現行的法團實體不同投票權 機制； • 優化對售予專業投資者的債券的 規範，以及將有關首次公開招股 及上市發行人的一般豁免及原則 編納成規。 謹此感謝所有溫習手冊及試題審閱員 / 評審員，以及各專業考試的顧問。他 們的真知灼見，對學會策劃及持續舉 辦優質考試和課程至為重要。 • HKEX ’ s i n t r oduc t i on o f a regulatory framework for an uncertificated securities market and enhancements to the pre- opening session and volatility control mechanism • amendments to Listing Rules related to Environmental, Social and Governance Reporting Guide, • extension of current corporate weighted voting rights regime, • e n h a n c e m e n t s t o t h e professional debt regime and codification of a number of general waivers and principles relating to initial public offerings and listed issuers. We are grateful to the reviewers and external assessors of our study manuals and examination questions, as well as to the advisors and contributors of our various professional examinations. They provided significant and invaluable input in developing and maintaining the high quality of our offerings.