月刊主编：杨智冰

联交所对中港石油有限公司（股份代号：632）及一名前董事的纪律行动（2026年3月3日）

Exchange’s Disciplinary Action against CHK Oil Limited (Stock Code: 632) and a Former Director （March 3 2026）

违规事项

该公司所发布的财务业绩及报告严重不准确、不完备及/或具误导成分，被裁定违反了《上市规则》。就此，于济源先生被裁定超过两年未有向该公司董事会、审核委员会及核数师汇报有关该公司重大资产的问题，包括相关资产的损失。

监管要点

上市发行人刊发的财务资料，对投资者作出有充分依据的投资决策至关重要。上市发行人和董事必须确保资料在重大方面均属准确完备，且无误导成分。

董事应作出独立判断，并积极采取措施及时向董事会汇报任何重大事宜，以便其能合理地评估发行人的状况，并促使发行人遵守《上市规则》。

Breach

The Company was found to have breached the Listing Rules for publishing financial results and reports which were materially inaccurate, incomplete and/or misleading. In this connection, Mr Yu Jiyuan was found to have failed to report issues relating to the Company’s material assets including the loss of such assets to the Company’s board of directors, audit committee and auditors for more than two years.

Key Points of Supervision

Financial information published by listed issuers is essential for investors to make fully informed investment decisions. Listed issuers and directors must ensure that the information is materially accurate and complete and not misleading.

Directors are expected to exercise independent judgment and take proactive steps to report any significant matter to the board of directors in a timely manner, so that it is able to fairly appraise the issuers’ positions and procure the issuers’ compliance with the Listing Rules.

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/news/regulatory-announcements/2026/260303news?sc_lang=zh-cn

联交所对烨星集团控股有限公司（股份代号：1941）及两名现任董事的纪律行动（2026年3月12日）

Exchange’s Disciplinary Action against Ye Xing Group Holdings Limited (Stock Code: 1941) and Two Current Directors（March 12 2026）

违规事项

该公司、吴女士及赵先生被裁定就包括该公司与母集团（由赵先生最终拥有）之间的关连交易违反《上市规则》。

监管要点

有关须予公布及关连交易的规定旨在包括确保当有重大交易时，股东会适时收到通知及有集体发言权，且于发行人订立这些交易时，所有股东均获公平和平等对待。

董事应充分了解相关规定，并促使发行人时刻遵守。如有疑问，应立即谘询专业顾问或联交所。对《上市规则》的无知或误解均非违反规则的抗辩理由。

Breach

The Company, Ms Wu and Mr Zhao were found to have breached the Listing Rules in respect of, among others, connected transactions between the Company and its parent group, ultimately owned by Mr Zhao.

Key Points of Supervision

The notifiable and connected transaction rules are aimed at, among others, ensuring that shareholders are properly informed about and have a collective say on significant transactions, and that all shareholders are treated fairly and equally when an issuer enters into these transactions.

Directors are expected to be fully aware of the relevant requirements and procure the issuer’s timely compliance. When in doubt, they should promptly consult professional advisers or the Exchange. Ignorance or misunderstanding of the Listing Rules is no defence for non-compliance.

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/Regulatory-Announcements/2026/260312news?sc_lang=zh-CN

联交所对企展控股有限公司（股份代号：1808）、六名董事及一名附属公司董事的纪律行动（2026年3月17日）

Exchange’s Disciplinary Action against Enterprise Development Holdings Limited (Stock  Code: 1808), Six Directors and a Subsidiary’s Director（March 17 2026）

违规事项

该公司董事未有妥善监察或监督企展香港的证券投资业务，亦未有促使该公司制定充足而有效的监控及程序，以确保企展香港的证券交易完全符合《上市规则》的规定；及

企展香港唯一董事罗先生未有及时向该公司董事会汇报相关证券交易，及／或未以系统化的方式记录所有证券交易。

监管要点

购买或出售证券及财务资产须符合《上市规则》第十四章的规定，只有极少数例外情况可获豁免。

及时履行《上市规则》是发行人受监管的重要责任之一。发行人须及时遵守《上市规则》有关披露及其他事宜的规定，以确保市场完全知情。

Breach

The failure of the Company’s directors to properly monitor or supervise the securities investment business of EDHK and procure the Company to have in place adequate and effective controls and procedures to ensure that EDHK’s securities dealings were conducted in full compliance with Listing Rules; and

the failure of Mr Luo, EDHK’s sole director, to report the securities dealings to the Board of the Company in a timely manner, and/or adopt a systematic approach to keep track of all securities dealings.

Key Points of Supervision

Acquisition or disposal of securities and financial assets are subject to Chapter 14 of the Listing Rules with very limited exceptions.

Compliance with Listing Rule obligations in a timely manner is an important element of issuers’ regulatory responsibilities. Issuers must promptly comply with the disclosure and other requirements under the Listing Rules to ensure the market is fully informed.

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/Regulatory-Announcements/2026/260317news?sc_lang=zh-CN

联交所对中国龙天集团有限公司（前称思嘉集团有限公司）（股份代号：1863）一名前董事的纪律行动（2026年3月19日）

Exchange’s Disciplinary Action against a Former Director of China Longevity Group Company Limited (formerly known as Sijia Group Company Limited) (Stock Code: 1863)（March 19 2026）

违规事项

黄先生没有回覆联交所的询问。

监管要点

董事即使已经辞任，亦必须配合联交所的调查。

不配合联交所的调查属严重违反《上市规则》，并可能导致被施加最严重的纪律制裁。

Breach

Mr Huang did not respond to the Exchange’s enquiries.

Key Points of Supervision

Directors must cooperate with the Exchange in its investigation, even after they have ceased to be directors.

Failure to cooperate in the Exchange’s investigation is a serious breach of the Listing Rules and may result in the imposition of the most serious disciplinary sanction.

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/Regulatory-Announcements/2026/260319news?sc_lang=zh-CN

证监会取得针对酷派集团有限公司前执行董事的赔偿令及取消资格令（2026年3月5日）

SFC obtains compensation and disqualification orders against former executive director of Coolpad Group Limited (5 March 2026)

违规事项

酷派集团有限公司（酷派）前执行董事张巍没有真诚地行事，没有以酷派的最佳利益为前提行事，且在批准该五项交易中的其中两项和授权就其中三项交易进行汇款时，没有作出独立判断。

监管要点

证监会于2021年7月根据《证券及期货条例》第214条展开法律程序。

Breach

Mr Zhang Wei, a former executive director of Coolpad Group Limited (Coolpad), breached his duties by, among other things, failing to act in good faith, not acting in the best interests of Coolpad, and not exercising independent judgment when approving two of the five transactions and authorising remittances for three.

Key Points of Supervision

The SFC commenced proceedings under section 214 of the Securities and Futures Ordinance in July 2021.

详见：

https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=26PR34

证监会禁止郭哲荣重投业界四年半并处以罚款100万元（2026年3月19日）

SFC bans Kuo Che-jung for four and a half years and fines him $1 million (19 March 2026)

违规事项

郭以在当时的买卖价差以外的价格执行多项对盘交易，此举可能会干扰到正常定价过程的中立性和客观性。因此，郭的行为除了在损害元大利益的情况下让其妻子获利，同时亦可能削弱了市场的廉洁稳健。

监管要点

对盘交易指以下交易，即某人要约以某个价格售卖证券，而该价格与该人已要约或拟要约（或就该人所知，其有联系者已要约或拟要约）购买数目大致相同的证券的买入价大致相同，反之亦然。对盘交易能在交易活动方面造成虚假或具误导性的表象，从而扭曲相关股份的实际供求情况。

Breach

Kuo’s execution of multiple matched trades at prices outside the prevailing bid-ask spreads could interfere with the impartiality and objectivity of normal price formation. Kuo’s actions therefore not only compromised Yuanta’s interests for the benefit of his wife but also potentially undermined market integrity.

Key Points of Supervision

Matched trades refer to transactions where a person offers to sell securities at a price that is substantially the same as the price at which he has made or proposes to make (or he knows an associate of his has made or proposes to make) an offer to buy substantially the same number of securities, and vice versa. Matched trades can create a false or misleading appearance of trading activity, distorting the actual supply and demand of the shares in question.

详见：

https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=26PR44

吕伯棠因失当行为遭证监会终身禁止重投业界并处以罚款1,743万元（2026年3月24日）

SFC bans Lui Pak Tong for life and fines him $17.43 million for misconduct (24 March 2026)

违规事项

吕实际上与其有联系者成立了雨田、该基金及该公司，而这三个实体均由他实际控制。吕随后致使该公司所收到的大部分该等贷款资金转移至他本人或与他有关连的人士，包括他的妻子。最终，该基金仅从该公司收到507万元的利息付款，而吕及与他有关连的人士则将1,743万元据为己有。

监管要点

吕在2017年7月25日至2020年8月31日期间隶属雨田，就《证券及期货条例》下第1类（证券交易）、第4类（就证券提供意见）及第9类（提供资产管理）受规管活动出任持牌代表。吕现时并非证监会持牌人。

Breach

Lui had in fact established Thunder, the Fund and the Company with his associates, and all three entities were effectively under his control. Lui subsequently caused a substantial portion of the Loan proceeds that the Company received to be transferred to himself or persons connected with him, including his wife. In the end, the Fund only received $5.07 million in interest payments from the Company, while Lui and his connected persons pocketed $17.43 million.

Key Points of Supervision

Lui was accredited to Thunder as a licensed representative for Type 1 (dealing in securities), Type 4 (advising on securities) and Type 9 (asset management) regulated activities under the Securities and Futures Ordinance between 25 July 2017 and 31 August 2020. Lui is currently not licensed by the SFC.

详见：

https://sc.sfc.hk/TuniS/apps.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=26PR47

香港交易所慈善基金推出照顾者关怀计划（2026年3月9日）

HKEX Foundation Launches Care for Caregivers Programme (9 March 2026)

香港交易及结算所有限公司（香港交易所）旗下香港交易所慈善基金（基金）3月9日正式启动其旗舰照顾者关怀计划，提升本地照顾者的身心健康。基金将透过跨界别协作，致力提升照顾者应对压力的能力及生活质素，缔造更多元共融的社会。

HKEX Foundation, the charitable foundation of Hong Kong Exchanges and Clearing Limited (HKEX), today (Monday) launched its flagship Care for Caregivers Programme to champion the well-being of caregivers across Hong Kong. Through cross-sector collaboration, the Foundation is committed to empowering caregivers, enhancing their quality of life, and fostering a more inclusive society for all.

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/News-Release/2026/260309news?sc_lang=zh-CN

香港交易所与马来西亚交易所推出联合冠名指数，并签署合作备忘录，携手加强两地市场联系（2026年3月27日）

HKEX, Bursa Malaysia Launch Co-Branded Index, Sign MOU to Enhance Market Connectivity (27 March 2026)

香港交易及结算所有限公司（香港交易所）3月27日宣布与马来西亚交易所签署了合作备忘录，以增进两地资本市场之间的合作与联系，包括就双重上市、交易所买卖基金（ETF）、指数及投资产品开发，伊斯兰金融产品以及碳市场等领域展开合作。

Hong Kong Exchanges and Clearing Limited (HKEX) is pleased to announce today (Friday) it has signed a Memorandum of Understanding (MOU) with Bursa Malaysia Berhad (Bursa Malaysia) to strengthen collaboration and enhance capital market connectivity between Hong Kong and Malaysia, including cooperation on dual listings, ETFs, joint development of indices and investment products, Shariah-compliant securities, and carbon markets.

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/News-Release/2026/260327news?sc_lang=zh-CN

有关首次公开招股申请、除牌和停牌公司之报告（2026年3月）（2026年3月30日）

Report on Initial Public Offering Applications, Delisting and Suspensions (March 2026) (30 March 2026)

本月度报告就报告涵盖期间我们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 our 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://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/Market-Communications/2026/260331news?sc_lang=zh-CN

通告 – 关于环球大通集团有限公司 （于开曼群岛注册成立之有限公司） （股份代号：8063）取消上市地位（2026年3月11日）

Announcement – In relation to the matter of Global Mastermind Holdings Limited (incorporated in the Cayman Islands with limited liability) (Stock Code: 8063) Cancellation of listing (11 March 2026)

香港联合交易所有限公司（联交所）宣布，由2026年3月16日上午9时起，环球大通集团有限公司（该公司）的上市地位将根据《GEM规则》第9.14A(1)条予以取消。

The Stock Exchange of Hong Kong Limited (the Exchange) announced that with effect from 9:00 am on 16 March 2026, the listing of the shares of Global Mastermind Holdings Limited (the Company) will be cancelled under GEM Rule 9.14A(1).

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/Regulatory-Announcements/2026/260311news?sc_lang=zh-CN

通告 – 关于浙江永安融通控股股份有限公司 （于中华人民共和国境内注册成立的股份有限公司） （股份代号：8211）取消上市地位（2026年3月11日）

Announcement – In relation to the matter of Zhejiang Yongan Rongtong Holdings Co., Ltd (a joint stock limited company incorporated in the PRC) (Stock Code: 8211) Cancellation of listing (11 March 2026)

香港联合交易所有限公司（联交所）宣布，由2026年3月16日上午9时起，浙江永安融通控股股份有限公司（该公司）的上市地位将根据《GEM规则》第9.14A(1)条予以取消。

The Stock Exchange of Hong Kong Limited (the Exchange) announced that with effect from 9:00 am on 16 March 2026, the listing of the shares of Zhejiang Yongan Rongtong Holdings Co., Ltd (the Company) will be cancelled under GEM Rule 9.14A(1).

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/Regulatory-Announcements/2026/2603112news?sc_lang=zh-CN

通告 – 关于中国钱包支付集团有限公司 （于百慕达注册成立之有限公司） （股份代号：802）取消上市地位（2026年3月12日）

Announcement – In relation to the matter of China e-Wallet Payment Group Limited (incorporated in Bermuda with limited liability) (Stock Code: 802) Cancellation of listing (12 March 2026)

香港联合交易所有限公司（联交所）宣布，由2026年3月16日上午9时起，中国钱包支付集团有限公司（该公司）的上市地位将根据《上市规则》第6.01A(1)条予以取消。

The Stock Exchange of Hong Kong Limited (the Exchange) announced that with effect from 9:00 am on 16 March 2026, the listing of the shares of China e-Wallet Payment Group Limited (the Company) will be cancelled under Rule 6.01A(1).

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/Regulatory-Announcements/2026/2603122news?sc_lang=zh-CN

通告 – 关于金山能源集团有限公司 （于香港注册成立的有限公司） （股份代号：663）取消上市地位（2026年3月24日）

Announcement – In relation to the matter of King Stone Energy Group Limited (incorporated in Hong Kong with limited liability) (Stock Code: 663) Cancellation of listing (24 March 2026)

香港联合交易所有限公司（联交所）宣布，由2026年3月26日上午9时起，金山能源集团有限公司（该公司）的上市地位将根据《上市规则》第6.01A(1)条予以取消。

The Stock Exchange of Hong Kong Limited (the Exchange) announced that with effect from 9:00 am on 26 March 2026, the listing of the shares of King Stone Energy Group Limited (the Company) will be cancelled under Rule 6.01A(1).

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/Regulatory-Announcements/2026/260324news?sc_lang=zh-CN

通告 – 关于集一控股有限公司 （于开曼群岛注册成立之有限公司） （股份代号：1495) 取消上市地位（2026年3月24日）

Announcement – In relation to the matter of Jiyi Holdings Limited (incorporated in the Cayman Islands with limited liability) (Stock Code:1495) Cancellation of listing (24 March 2026)

香港联合交易所有限公司（联交所）宣布，由2026年3月26日上午9时起，集一控股有限公司（该公司）的上市地位将根据《上市规则》第6.01A(1)条予以取消。

The Stock Exchange of Hong Kong Limited (the Exchange) announced that with effect from 9:00 am on 26 March 2026, the listing of the shares of Jiyi Holdings Limited (the Company) will be cancelled under Rule 6.01A(1).

详见：

https://sc.hkex.com.hk/TuniS/www.hkex.com.hk/News/Regulatory-Announcements/2026/2603242news?sc_lang=zh-CN

香港金融管理局、上海市数据局与国家区块链技术创新中心签署合作备忘录 深化沪港数字化赋能货运贸易及金融领域的合作（2026年3月2日）

Hong Kong Monetary Authority, Shanghai Data Bureau, and National Technology Innovation Center for Blockchain sign MoU to strengthen Shanghai-Hong Kong cooperation in digitised cargo trade and finance (2 March 2026）

香港金融管理局（金管局）、上海市数据局与国家区块链技术创新中心（国创中心）3月2日宣布已共同签署《沪港货运贸易及金融数字化合作备忘录》（《合作备忘录》），以进一步推动沪港两地在数字化赋能货运贸易及金融等领域的深入合作，发挥香港作为“超级联系人”及“超级增值人”以促进内联外通的独特优势，支持上海通过香港与国际数据生态圈联接。

The Hong Kong Monetary Authority (HKMA), the Shanghai Data Bureau (SDB), and the National Technology Innovation Center for Blockchain (NTICBC) announced on 2 March that they have jointly signed the Memorandum of Understanding between Shanghai and Hong Kong on Digitised Cargo Trade and Finance Cooperation (the MoU). This aims to deepen the collaboration between Shanghai and Hong Kong in areas of digitised cargo trade and finance. The collaboration leverages the unique advantages of Hong Kong as a “super connector” and “super value-adder”, with its connections to both the Chinese Mainland and the world, to support Shanghai’s integration with the international data ecosystem through Hong Kong.

详见：https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2026/03/20260302-3/

港澳金融管理局签署修订谅解备忘录以进一步加强合作（2026年3月3日）

HKMA and AMCM Sign Revised MoU to Further Strengthen Cooperation (3 March 2026)

香港金融管理局（香港金管局）与澳门金融管理局（澳门金管局）代表3月3日进行会面，双方就进一步加强两地金融多维度合作展开交流，并于会面期间共同签署经修订的《谅解备忘录》。

The representatives of the Hong Kong Monetary Authority (HKMA) and the Monetary Authority of Macao (AMCM) held a meeting on 3 March to foster closer financial cooperation between the two authorities in several key areas. During the meeting, they signed a revised Memorandum of Understanding (MoU).

详见：https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2026/03/20260303-4/

监管机构推出GenA.I.沙盒++以促进金融服务领域的人工智能创新（2026年3月5日）

Regulators launch GenA.I. Sandbox++ to foster A.I. innovation across financial services (5 March 2026)

香港金融管理局（金管局）、证券及期货事务监察委员会（证监会）、保险业监管局（保监局）及强制性公积金计划管理局（积金局）3月5日联同香港数码港管理有限公司（数码港），宣布推出生成式人工智能（GenA.I.）沙盒++。

The Hong Kong Monetary Authority (HKMA), the Securities and Futures Commission (SFC), the Insurance Authority (IA), and the Mandatory Provident Fund Schemes Authority (MPFA), in collaboration with the Hong Kong Cyberport Management Company Limited (Cyberport), announced on 5 March the launch of the Generative Artificial Intelligence (GenA.I.) Sandbox++ initiative.

详见：https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2026/03/20260305-3/

香港最新外汇储备资产数字（2026年3月6日）

Hong Kong’s Latest Foreign Currency Reserve Assets Figures Released (6 March 2026)

香港金融管理局（金管局）3月6日公布，香港于2026年2月底的官方外汇储备资产为4,392亿美元（2026年1月底为4,356亿美元）。

The Hong Kong Monetary Authority (HKMA) announced on 6 March that the official foreign currency reserve assets of Hong Kong amounted to US$439.2 billion as at the end of February 2026 (end-January 2026: US$435.6 billion).

详见：https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2026/03/20260306-3/

第一届粤港澳深四地金融监管联席会议（2026年3月25日）

Inaugural Guangdong-Hong Kong-Macao-Shenzhen Joint Financial Regulatory Meeting (25 March 2026)

第一届粤港澳深四地金融监管联席会议于3月23日至24日在广州南沙举行。会议由广东金融监管局主办，香港金融管理局、香港保险业监管局、澳门金融管理局和深圳金融监管局代表出席。金融监管总局有关司局，以及广东省、广州市地方政府代表亦应邀参与。

The inaugural Guangdong-Hong Kong-Macao-Shenzhen Joint Financial Regulatory Meeting was held in Nansha, Guangzhou from 23 to 24 March. The meeting was hosted by the National Financial Regulatory Administration (NFRA) Guangdong Office and attended by representatives from the Hong Kong Monetary Authority, Hong Kong Insurance Authority, Monetary Authority of Macao, and NFRA Shenzhen Office. Officials from relevant departments of the NFRA, Guangdong Province and Guangzhou Municipal Government were also invited to attend.

详见：https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2026/03/20260325-6/

《货币与金融稳定情况半年度报告》（2026年3月号）（2026年3月30日）

HKMA Half-Yearly Monetary and Financial Stability Report (March 2026 Issue) (30 March 2026)

香港金融管理局（金管局）3月30日刊发2026年3月号《货币与金融稳定情况半年度报告》。

Hong Kong Monetary Authority (HKMA) on 30 March published its Half-Yearly Monetary and Financial Stability Report (March 2026 Issue).

详见：https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2026/03/20260330-4/

2026年2月份货币统计数字（2026年3月31日）

Monetary Statistics for February 2026 (31 March 2026)

香港金融管理局3月31日发表的统计数字显示，认可机构的存款总额在2026年2月份上升0.9%，其中港元存款下跌0.2%，外币存款则上升1.7%。2026年首两个月，存款总额及港元存款分别上升0.9%及1.2%。

According to statistics published on 31 March by the Hong Kong Monetary Authority, total deposits with authorized institutions increased by 0.9% in February 2026. Among the total, Hong Kong dollar deposits decreased by 0.2%, while foreign currency deposits increased by 1.7% in February. In the first two months of 2026, total deposits and Hong Kong dollar deposits increased by 0.9% and 1.2% respectively.

详见：https://www.hkma.gov.hk/gb_chi/news-and-media/press-releases/2026/03/20260331-7/

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