年報 Annual Report 2010/11 - Estate Agents Authority · agency trade in Hong Kong, promote...

Annual Report 2010/11年報

地產代理監管局簡介About us

抱負Vision

監管局將致力於• 成為盡責、公正、靈活應變和有效的監管機構 • 確保從業員依法執業，推動業界以誠為本、

以信為先 • 提升業界的專業水平和能力

The EAA will strive to• be a responsible, impartial, responsive and

effective regulator• ensure practitioners abide by the law and

to promote a high standard of integrity and probity in the trade

• promote a high degree of professionalism and competence in the trade

地產代理監管局（監管局）是於1997年11月根據《地產代理條例》而成立的法定機構，主要職能包括規管香港地產代理業界的執業；推動業界行事持正；以及鼓勵行業培訓，確保從業員達到專業水平，符合道德操守。

監管局舉辦資格考試、審批個人和公司牌照、處理對從業員的投訴、執行巡查工作，以及對違反《地產代理條例》的地產代理從業員施行紀律處分。監管局亦為業界舉辦專業發展活動，並推動消費者教育。

監管局是財政自給的機構。監管局成員由香港特別行政區行政長官委任，設有正、副主席各一名及普通成員十八名。成員來自社會多個界別，包括地產代理行業。

The Estate Agents Authority (EAA) is a statutory body, established in November 1997 under the Estate Agents Ordinance (EAO). Its principal functions are to regulate the practice of the estate agency trade in Hong Kong, promote integrity and competence within the industry, and facilitate training for practitioners to ensure competency and a proper standard of conduct.

The EAA organises qualifying examinations, issues licences to individuals and companies, handles complaints against licensees, conducts compliance inspections and metes out disciplinary sanctions to practitioners who have breached the EAO. The EAA also organises activities for the professional development of the trade and promotion of consumer education.

The EAA is a self-financing body. Its Members are appointed by the Chief Executive of the Hong Kong Special Administrative Region (HKSAR) and consist of a Chairman, a Vice-chairman, and 18 ordinary members from various sectors in the community, including the estate agency sector.

使命Mission

規管香港地產代理業的執業，提升從業員的專業能力，並為業界訂立高的道德和操守水平。

To regulate the practice of the estate agency trade in Hong Kong, raise the competence of practitioners and set high standards of ethics and conduct befitting the trade

17,629

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20,581

主要統計數字一覽Key figures At A glAnce

牌照和營業詳情說明書１數目（於2011年3月31日計算）

number of licences and statements of particularsof business1 (sPobs) (as at 31/3/2011)

考生人數（2010/11年度）number of examination candidates (2010/11)

個人牌照總數Total number of individual licences

總數Total

營業員牌照Salesperson’s

licence

地產代理（個人）牌照

Estate agent’slicence

(individual)

地產代理（公司）牌照


(company)

營業詳情說明書SPOB

營業員資格考試SalespersonsQualifying

Examination

地產代理資格考試Estate AgentsQualifying

Examination

1 地產代理須要為每個營業地點的每個營業名稱，申領營業詳情說明書。2 部分是往年接獲的個案3 包括樓盤所在處、樓盤銷售處及其附近

17,629

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2,512

5,658

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3000

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4000

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1200011,951

8,630

17,629

14,355

2,512

5,658

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3000

9000

12000

15000

18000

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4000

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1200011,951

8,630

投訴個案（2010/11年度）

number of complaint cases (2010/11)

巡查次數（2010/11年度）

number of compliance inspections (2010/11)

562已完成的個案 2

Cases completed2

659接獲的個案Cases received

1,482地產代理商舖At estate agency shops

1,150一手樓盤 3

At first-sale sites3

490網上物業廣告Onlineadvertisements

總數total

3,122

被暫時吊銷╱撤銷的牌照數目（2010/11年度）

number of licences suspended/revoked (2009/10)

持續專業進修活動的參與人次（2010/11年度）

number of enrolments in continuing Professional Development activities (2009/10)

34,023暫時吊銷Suspended

29

撤銷Revoked

0

1 An estate agent must apply for a statement of particulars of business for each place of business under each business name.

2 Some cases completed in a year were received in previous years.3 Includes the development sites, sales offices and vicinity

主席報告Chairman’s message

行政總裁匯報Report of the Chief Executive Officer

監管局成員Members of the EAA

工作報告Operations review

作為把關者：資格考試與發牌As a gatekeeper: qualifying examination and licensing

作為規管者：執法行動及紀律處分As a regulator: law enforcement and disciplinary sanctions

作為教育者：專業發展、公眾教育與對外事務As an educator: professional development, community education and external affairs

監管局財務、員工與行政EAA finance, staff and administration

機構管治Corporate governance

核數師報告Auditor’s report

財務報表Financial statements

目錄tAble of contents

5

26

37

69

91

15

51

83

118120

地產代理監管局．2010/11年年報4

Estate Agents Authority．Annual Report 2010/11 5

主席報告chAirMAn’s MessAge

主席陳韻雲，bbs，JPVivien chan, bbs, JPChairman


主席報告

巨變當前，我們要穩步向前和靈活應對

自2008年3月31日以來，持牌人數持續上升，累計增幅達46%，為業界提供了充足的服務人才資源。

鑑於近期樓市波動，我們要意識到，樓市一旦下跌，將會導致交投萎縮，持牌人供過於求，亦可能會因市道轉差而構成佣金下調壓力。這種情形可能會導致地產代理從業員採取不當措施。這類個案已不時見諸報端，例如在購物商場裏設置的一手樓盤展銷廳，代理對商場顧客造成滋擾，或者是襲擊個案及其他偶爾的不當行為。無可否認，根據業內慣例，地產代理底薪相對較低，其收入很大程度上取決於能否達成交易。因此，地產代理從業員面臨壓力，往往要竭盡所能，務求達成交易。上述極端行為可能只是一時衝動所致，然而，作為規管者，無論是在實際上或在心態方面，我們都要有備無患，防止此類事件帶來的衝擊。我將致力確保董事局及管理層時刻保持警醒和積極的態度，迅速地作出有效回應。同時，我們亦會確保有足夠執行監管工作的人手及配備的軟件。

地產代理對客戶個人資料的管理

「尊敬的女士，這是一個自由的國度。我們有權在公眾場合分享您的私隱。」 — Peter Ustinov (1921-2004) Romanoff and Juliet(1956) 經過日積月累，每位地產代理都會累積一個交易資料庫。這類資料庫涉及不少的市民的大量準確及最新資料。業界對這些資料的收集及持續使用須受監管指引規管。公眾日益關注對個人資料的保護，並要求第三方不得將個人資料用於收集目的以外的用途。有見及此，最近有建議修訂現行《個人資料（私隱）條例》，並引起公眾及持份者的共鳴。

作為規管者，我們將繼續關注對現行法例的任何建議修訂。我們將着力確保地產代理從業員在正常開展業務之時毋須受過份限制，但他們同時有責任妥善管理有關資料。


chAirMAn’s MessAge

As significant changes loom, we need to manage ably and with tenacity

With a continuous increase in licensees representing a cumulative increase of 46% since 31 March 2008, we have an abundance of service providers.

Given the recent volatility in the property market, we need to be aware that any downturn will result in too many licensees servicing what could be a shrinking pool of transactions, and/or a declining commission quantum with a downward market adjustment. This sometimes brings about unwarranted measures by trade members. It is already evident in the widely reported cases of nuisance to shoppers in shopping malls which serve as first sales show flats venues, or assault cases and other unbecoming conduct from time to time. The business model of the profession is structured on a relatively meager basic pay, where the real livelihood is dependent on successfully securing a deal. Hence, the pressure of getting a deal “come what may”. While these desperate measures are often driven by impulse, we need, as a regulator, to be prepared both physically and mentally to deal with a possible onslaught of such incidents. I am committed to ensuring that both our Board and management will be responsive and effective in ensuring a vigilant and positive stance, while also being fully equipped with additional manpower and other software in our enforcement functions.

Management of client personal data in estate agency practice

“this is a free country, madam. We have a right to share your privacy in a public place.” - Peter Ustinov 1921-2004: Romanoff and Juliet (1956)

Every estate agency business will have, over time, accumulated a data bank of their transactions. Such a data bank represents a wealth of remarkably accurate and updated information of a sizable portion of our population. It is important its collection and continued use by the trade is governed by regulatory guidelines. There is considerable concern and an increasing demand from the public that their personal data are protected, and their use in the hands of third parties is restricted to the purpose for which they were collected. Hence, the recently proposed reform legislation to replace the existing Personal Data (Privacy) Ordinance. The proposed amendments have attracted much resonance from the public and the respective stakeholders.

As a regulator, we will continue to evaluate any suggested amendment to the existing laws. We will ensure the trade is given the ability to continue with its normal course of business without undue restrictions, and yet ensure such data be given their due governance.


堅持「誠信公平可創富」

「假如我們不知道何謂正軌，就不能辨別甚麼是離經背道。」—G.K. Chesterton (1874-1936)

監管局與廉政公署於今年3月攜手推出為期三年的「地產代理誠信管理計劃」，業界對此反應積極。對此，我感到十分欣慰。不少地產代理及業界商會已將監管局及廉署製作的影片及培訓教材用於內部培訓計劃。我們已舉辦多場誠信管理講座，吸引眾多從業員參加。總括而言，我相信我們的舉措適逢其時、定位準確。當然，我們會繼續努力，實施相關計劃。建立誠信文化並非一朝一夕可以成事。俗語有云，羅馬非一日建成，建立任何事物，均離不開穩固的根基。

有關一手住宅樓盤銷售的立法建議

ICON事件揭露不少現時的灰色地帶，例如持牌人的責任起點，持牌人在履行職務時所應盡一切努力的範圍等，而政府在有關方面的舉措值得讚賞。監管局代表是「立法規管一手住宅物業銷售督導委員會」成員之一，此委員會將會提出立法措施建議，供市民參考。在業界，地產代理從業員實質上屬於一手物業的銷售隊伍。精明的發展商懂得善用大型地產代理的廣泛銷售渠道網絡，而代理公司職員又是監管局持牌人。這也是監管局持牌人數目持續快速增長的原因之一。

我認為，這對於業界是一個利好消息。擬議法例有助明確界定他們的責任範圍及問責程度。更重要的是，這有望為業界提供可靠依據，藉法例所訂明的條款，業界可向發展商索取必要的資料及材料，以便他們妥為履行職責。

我將確保監管局及時地妥善回應有關立法工作，並為政府及業界提供鼎力支持，以促進上述措施的有效實施。

主席報告


sustaining ‘it PAys to PlAy fAir AnD ProPer’

“you can’t turn a thing upside down if there’s no theory about it being the right way up.” - G.K. Chesterton 1874-1936 attributed.

I am delighted our three-year integrity management programme launched jointly with the ICAC in March this year has attracted such a positive response from the trade. Many estate agencies and trade associations have adopted the specially tailored video and training package for their own in-house training programmes. We have held integrity management seminars which attracted an overwhelming number of participants. All in all, I am convinced our initiative is well placed and accurately positioned. We will, of course, continue to hone our efforts and sustain the programme. Integrity culture building is a continuing endeavor. As the saying goes, Rome is not built in a day, and anything that is built must rest on a solid foundation.

legislative proposals for first sale residential properties

With the ICON incident bringing to the forefront the many grey areas which now exist, such as where and how the responsibility of our licensees begin, and at what point, and to what extent they need to have the responsibility of due diligence, the government’s initiative in this direction is to be applauded. The EAA is represented on the Steering Committee on the Regulation of Sale of First-hand Residential Properties by Legislation, which will in due course recommend legislative measures for review. It has been a practice that our trade members are in essence the sales force of first sales developments. Developers are astutely tapping into the extensive network of outlets of the larger estate agencies, and their respective army of manpower, who in turn, are our licensees. This partly accounts for the rapid and sustained increase of our licensee numbers.

I see this as good news for the trade. The proposed legislation is a welcomed clarification of its line of responsibility and degree of accountability. More importantly, it will hopefully equip the trade with a sound basis to request from the developers the requisite information and materials to enable it to discharge its duties properly.

I will see to it we will respond timely and appropriately to these legislative endeavours, and that we will give our full support to both the government and the trade, so that such measures will be implemented effectively.



應對新的措施

在額外印花稅生效前後，我們均有邀請稅務局向業界闡釋該新法例的運作。我們已經組織過相關的研討會，亦會為業界編製一份新的執業通告。在任何新法例的實施初期，我們已經未雨綢繆，隨時準備應對新法例實施初期可能出現的問題。我們亦為業界提供支援及幫助，協助他們了解和適應日後的合規要求。

我預期新措施將會陸續推出。我們將一如既往，責無旁貸地全力支持有關新措施。

促進業界和公眾的權益

監管局的首要責任是保障業界及廣大公眾的利益。我們並無必要偏袒任何一方。保障雙方的利益是監管局的宗旨。

監管局網站於2011年4月進行全面革新後，我們開始為持牌人推出網上電子服務。

持牌人紀律處分紀錄在線搜索引擎的籌備工作已有一段時間，並已於2011年4月初推出。新的系統將有助使用者更方便地找到所需的資訊。搜尋結果包括持牌人最近兩年的紀律處分紀錄，披露範圍的時限較之前更長。

我們為業界提供支持及資源

早前，監管局提出內地房地產經紀人與香港地產代理專業資格互認計劃，地產代理業界反應踴躍。本報告付印之際，首批獲得資格的地產代理業界人士數目亦將見分曉。我衷心祝願並祝賀他們能以此契機，為自己的事業開拓新的境界。無論是挑戰抑或是全新的視野，我都希望這會帶來前所未有的機遇。

為了落實互認計劃，我們一直在籌備與內地同業舉辦培訓課程及考試。培訓課程及考試將於2011年7月舉行。我們期待新成員的加入。內地同業可望為我們的從業人員帶來新視野，令香港地產代理能夠透過與內地同業在香港市場上的合作，學習新的服務文化。

主席報告


response to new measures

We have, prior to and as the Special Stamp Duty becomes law, invited the Inland Revenue Department to explain to our trade the workings of this new law. We have organised seminars and will also prepare a new practice circular for the trade. As with any new legislation, we are prepared for teething issues. We will support and help our trade so that it is clear and comfortable with compliance going forward. There will no doubt be further new measures from time to time. We will be our usual duty bound guardian to ensure they are given our full support.

We are the vanguard of the trade and the public

The EAA’s primary responsibility is to both the trade and the public at large. There need not be a weightier leaning to either as both sets of interests are our raison d’être.

After the overhaul of our website in April 2011, we will launch online e-Services for our licensees.

We prepared an online search engine of licensees disciplinary records which was made available in early April 2011). This new arrangement is more user friendly. The search will disclose two years of licensees’ disciplinary records. This represents an extension from the prior disclosure limit.

We are a support and resource for the trade

We received a good response for nominations for the scheme of mutual recognition of professional qualifications of estate agents in the Mainland and Hong Kong from our trade members. As this goes to print, we will have the number of our first batch of trade members who have attained this qualification. To every one of them, I extend my warm wishes and congratulations for a fulfilling added dimension to their careers. May this be a hitherto untapped opportunity, be it both a challenge and a new horizon.

We have also been making preparations to reciprocally conduct training and examinations of our Mainland counterparts, which will take place in July 2011, and we look forward to new members joining our trade. Our Mainland counterparts will bring new perspectives to our own trade members, enabling our trade members to live and learn a new service culture when they come to work with us in our market.

Through ad hoc and regular trade liaison meetings, we will continue to listen to and support our trade members. We see our pivotal role in providing support to newcomers, as we have seen a continuous rising trend in the numbers pitching in for the entry examinations, having risen dramatically by 167% since 2007/08.



我們將繼續透過因應特別需要及定期業界聯絡會議，聽取地產代理從業員的意見並為其提供支持。我們留意到，報名參加資格考試的人數持續增長，自2007/08年度以來已大幅增長167%，我們亦因此意識到，監管局在為新的從業者提供支持方面擔當着重要角色。

熱烈歡迎

今年，董事會新增七名成員，他們都能夠迅速投入工作且貢獻良多。我衷心感謝各位盡忠職守、兢兢業業的委員會主席，包括監管局副主席兼執業及考試委員會主席梁永祥先生；專業發展委員會主席劉詩韻女士；牌照委員會及第28條調查小組主席廖玉玲女士；及紀律委員會主席馬豪輝先生；不但要感謝他們為領導各個委員會所付出的大量時間，更要感謝他們的才智和真知灼見。我衷心感謝他們的建議和不懈奉獻。

我們亦歡迎運輸及房屋局常任秘書長（房屋）栢志高先生，感謝他帶領一支團隊，為監管局的倡議及計劃提供支持。

誠如我在去年年報中所述，我有幸擁有一個優秀的管理團隊，團隊成員包括監管局的各位總監：執行總監黃維豐先生、規管及法律總監劉淑棻女士及服務總監韓婉萍女士，以及監管局行政總裁余呂杏茜女士。我們能取得目前的成績，實有賴他們與監管局全體同事的共同努力。

全賴以上各位的努力和貢獻，我們的抱負和使命方得以實現。謹此引用王爾德 (Oscar Wilde)的一句名言：

此時此刻，說出自己的心裏話不僅是道德上的責任，更是一件樂事。

主席陳韻雲，bbs，JP

主席報告


A warm welcome

This year sees seven new members of the Board, all of whom have settled swiftly and contributed significantly. Our trusted and always devoted respective committee chairs; Mr William Leung, Vice Chairman and Chairman of the Practice and Examination Committee; Ms Serena Lau, Chairman of the Professional Development Committee; Ms Elaine Liu, Chairman of the Licensing Committee and Section 28 Investigation Panel; and Mr Ma Ho-fai, Chairman of the Disciplinary Committee; are warmly thanked not only for the long hours they have spent on these committees, but also for their wisdom and insight. I am truly indebted to their counsel and tireless devotion.

On the Transport and Housing Bureau front, we welcome our new Permanent Secretary, Mr Duncan Warren Pescod, who has led a supportive team for EAA initiatives and plans.

And in the last annual report, I continue to count my blessings for having an excellent management team, consisting of our Directors; Mr Anthony Wong, Director of Operations, Ms Eva Lau, Director of Regulatory Affairs and General Counsel, Ms Ruby Hon, Director of Services, who are ably led by Mrs Rosanna Ure, our Chief Executive Officer. Together they have worked hard with all of our colleagues at the EAA to achieve what we have.

All of the aforementioned have made what we aspire to possible. In the words of Oscar Wilde:

On an occasion of this kind it becomes more than a moral duty to speak one’s mind. It becomes a pleasure.

Vivien chan, bbs, JPChairman



行政總裁匯報rePort of the chief executiVe officer

行政總裁余呂杏茜 rosanna ure, Chief Executive Officer


引言

這是我作為地產代理監管局（「監管局」）行政總裁呈遞的第二份報告。於2010/11財政年度，香港樓市暢旺，成交總數創出新高，達160,049宗，較上一財政年度升4.19%，因而吸引了一批新人投身地產代理界。

社會經濟背景

2008年年底金融海嘯爆發後，樓市急轉直下，此後，交易數目穩定回升。2010/11年度，本地物業交易總值達7,214.3億港元。一方面，這有利於與房地產行業密切相關的專業人士，但另一方面，物業價格持續上升，令普羅大眾關注。而作為促成物業交易關鍵參與者，地產代理亦愈來愈受公眾密切注視。炙手可熱的一手樓市尤其備受矚目，一手樓盤銷售秩序及向顧客提供的資訊等問題都關乎公眾利益。樓價持續上升，不僅令房地產發展商受惠，亦為另一類從業員（即專門收購舊樓作重建用途的人士）帶來商機。

持牌人數目穩定增加

於本財政年度，個人持牌照數目由27,433人穩定增加17%至31,984人，而本財政年度內監管局所發的公司牌照及營業詳情說明書數目，亦相應地分別錄得25%及18%的增長。該等增長為監管局帶來不少壓力，因為一方面我們需要監管的持牌人數目與日俱增，另一方面持牌人之間的激烈競爭亦可能引發各種問題。

以積極主動的方法規管從業員

近年來，監管局已採用積極主動的方法規管持牌人，以便我們能夠及早處理各種新興問題，防止其日益惡化。為確保獲監管局發牌的人士具備執業所需的專業水準以履行其職責，監管局持續監察我們舉辦的資格考試並作出必要調整。2010/11年度地產代理資格考試及營業員資格考試的平均合格率分別是35%和51%。為維持及提升持牌人的專業水平，我們所採用的首要及最有效機制之一是設定適當的考試難度，確保通過考試的人士達到必要的水平。

通過資格考試只是第一步。根據《地產代理條例》，所有人士均須符合一定條件才能獲發牌照。監管局會仔細調查及核實所有申請，以確定申請人是否符合所有條件，若有虛假聲明，我們將從嚴處理，通常會作出刑事檢控。監管局嚴謹對待發牌工作，凡不符合條件的申請人概不接納。2010/11年度共有7,189名新申請人獲發牌執業。

行政總裁匯報


introduction

This is the second report I present as the Chief Executive Officer of the Estate Agents Authority (EAA). During the financial year 2010/11, the property market in Hong Kong experienced a bumper year, with the total number of transactions hitting a high of 160,049, up 4.19% compared to that of the previous financial year. This has in turn attracted new blood joining the estate agency trade.

socio-economic backdrop

The property market experienced a dramatic turnaround after the financial tsunami in late 2008 and since then the number of transactions has been on a steady climb. The total transaction value of properties locally amounted to HK$721.43 billion in 2010/11. On the one hand, this has proven to be beneficial to those professions closely related to the real estate business. Yet, on the other hand, the steady climb in property prices has been a matter of concern to many. Being a key player in facilitating property transactions, estate agents are increasingly under close scrutiny by the public. The red-hot first sale market has in particular drawn the attention of the public, and issues such as the order of first sales sites, and information passed onto consumers are matters of public interest. The ever-rising property price has not only benefited real estate developers, but has also brought opportunities to another group of practitioners – those specialising in the acquisition of old buildings for redevelopment.

number of licensees on a steady climb

The number of individual licensees climbed steadily in the financial year, rising from 27,433 to 31,984, a 17% increase. Such an increase was matched by the company licensees and Statements of Particulars of Business (SPOBs) issued by the EAA, which increased by 25% and 18% respectively within the financial year. The increase has put pressure on the EAA, not only because there is an ever-increasing number of licensees we need to regulate, but also because keen competition between licensees may generate various problems.

A responsive and proactive approach to regulate practitioners

In recent years, the EAA has adopted a very proactive and responsive approach to regulate our licensees, so that emerging issues could be dealt with swiftly, thus preventing them from festering. To ensure those who are licensed by the EAA have the required professional standard to discharge their duties, the EAA constantly monitors and makes necessary adjustments to the qualifying examinations we administer. The average pass rates of estate agents and salespersons qualifying examinations stood at 35% and 51% respectively in 2010/11. Setting examinations at an appropriate level to ensure those who pass meet the requisite standard is the first and one of the most effective mechanisms the Authority uses to maintain and raise the professional standards of our licensees.

rePort of the chief executiVe officer


透過發出執業通告提供適時指引

持牌人與公眾密切接觸，並處理價值數以百萬港元計的交易，故在達成交易時必須極其謹慎。監管局定期發出執業通告及其他指引，以確保持牌人遵從相關法定及規管要求。2010/11年度，監管局刊發了6份執業通告，涵蓋諸如違例建築工程物業的租賃、地產代理在推廣一手物業時的操守及行為，及持牌人協助收購舊樓作重建用途時的操守等熱門課題。這些適時的指引提示持牌人注意相關法定及規管要求，並提醒他們遵守規則。

確保守法循規及處理投訴

規管制度的一個重要部份是執行巡查及隨之而來的紀律處分制度。監管局職員定期巡查一手樓盤及地產代理商舖，以確保持牌人遵守我們的建議及指示。我們會積極處理所有違規行為，亦會將指稱成立的個案移交紀律委員聆訊及裁定。2010/11年度，監管局分別對一手樓盤及地產代理商舖進行1,150次及1,482次巡查，並進行490次網上巡查。年內，共有222名持牌人受到處分，處罰包括譴責、訓誡及罰款，嚴重者則會被暫時吊銷牌照。年內並無任何持牌人被撤銷牌照。

監管局處理的個案不僅來自行政部門主動執行的調查。事實上，隨着消費者日益關注自身的權利，他們通常是防禦持牌人不道德或不專業行為的第一道防線。2010/11年度，我們共接獲659宗投訴，較上一財政年度微升3.29%。另一方面，查詢數目則由2009/10年度的9,102宗微減（不足1%）至9,032宗。行政部門承諾會以高效專業的方式不偏不倚地跟進這些查詢／投訴個案。

行政總裁匯報


Passing the qualifying examination is just the first step. According to the Estate Agents Ordinance (EAO), an individual must meet a number of conditions before a licence is issued. Very careful checks and verifications are conducted to determine if an individual fulfils those conditions, and false declarations will be dealt with severely, often resulting in criminal prosecution. The EAA takes its licensing work very seriously, and unsuitable candidates will be rejected. In 2010/11, 7,189 new applicants obtained a licence to practise.

timely guidance through issuing practice circulars

Being a trade which has close interaction with the public and deals with transactions worth millions of dollars, licensees must exercise great care and due diligence in closing a deal. The EAA regularly issues practice circulars and other guidelines in order to make sure licensees comply with the relevant legislative and regulatory requirements. In 2010/11, the EAA issued six practice circulars, covering such topical issues as leasing properties with unauthorised building works, conduct and behaviour of estate agents in promoting first sales, and conduct of licensees in helping to acquire old buildings for redevelopment purposes. This timely guidance alerts licensees to the relevant legislative or regulatory requirements, and reminds them to abide by these rules.

ensuring compliance and complaints handling

One of the important components of a regulatory regime is compliance checking and the ensuing disciplinary regime. EAA staff pay regular visits to first sale sites and estate agency shops to make sure licensees follow our advice and instructions. Breaches will be followed up vigorously and substantiated cases are brought before the disciplinary panel for hearing and adjudication. In 2010/11, 1,150 and 1,482 visits were paid to first sale sites and estate agency shops respectively, and 490 cyber-patrols were conducted. 222 licensees were disciplined in the year, their penalties ranged from reprimands, admonishments and fines, to the suspension of licence. No licence was revoked in the year.

Cases handled by the EAA are not solely generated from proactive investigations initiated by the Administration. Indeed, as consumers become more aware of their rights, they are often the first line of defence against unscrupulous or unprofessional behaviour of our licensees. In 2010/11, 659 complaints were received, a slight increase of 3.29% compared to the last financial year. On the other hand, there was a slight decrease (less than 1%) in the number of enquiries (9,032), compared to 9,102 in 2009/10. The Administration pledges to follow up these enquiries/complaints efficiently and professionally, without fear or favour.

raising professional and ethical standards

To raise the professional standard of licensees, in the year, 523 continuing professional development (CPD) courses/activities were organised by the EAA and other activity providers, attracting around 34,000 participants. Amongst the programmes organised by the EAA, subjects such as handling properties with unauthorised building works, transaction of village houses, and lowering of the threshold for the compulsory sale of old buildings were covered,



提升專業及道德水平

為提高持牌人的專業水平，年內，監管局及其他主辦機構共舉辦523項持續專業進修課程／活動，吸引約34,000人參與。監管局舉辦的活動主題包括處理違例建築工程的物業、村屋買賣、以及與降低舊樓強制拍賣的門檻相關的課題，持牌人認為這些適時的活動讓他們獲益良多。然而，持續專業進修計劃的不足之處在於其自願性質。監管局開始進行深入討論，探討是否應將持續專業進修計劃由自願性改為強制性。我們已研究及考慮主要事項，但仍要擬定具體計劃，為這個改革奠定基礎。希望政府不久之後代表監管局將修訂法例提呈立法會審議。我們深信，持續提高從業員的專業水平是更好地保護消費者權益的關鍵。

培訓不僅限於傳授知識，提升持牌人的道德水平亦同樣重要。有鑑於此，監管局於2011年3月與廉政公署合辦為期三年的「誠信管理計劃」，計劃提供一套全面的培訓資料，以及一份協助地產代理識別高風險領域及補救措施的手冊。我們希望透過這一計劃讓持牌人形成「誠信公平可創富」的風氣！

內地與香港資格互認

年內監管局的一項里程碑就是與中國房地產估價師與房地產經紀人學會（「中房學」）簽署協議，為香港與內地從業員專業資格互認制定了架構。該互認計劃旨在促進兩地專業人士的交流，並允許對方的持牌人在本地執業。

監管架構檢討

《地產代理條例》自1997年通過以來，偶有輕微修訂。然而，時移世易，公眾的期望亦已有所改變，有必要全面檢討現行條例以確保《地產代理條例》能夠繼續提供有效的規管架構。行政部門已開始進行相關研究工作，並將在適當時向建議提呈董事局報告研究結果。

機構管治

監管局有必要進行定期健康檢查，以確保我們的程序足以維持及提升監管局作為一個公正法定機構的形象。年內，董事局檢討了已實施多年的「利益申報」制度，並更新了所有董事局成員使用的利益申報表。此外，當董事局或委員會審議或決定任何事項時，董事局及其委員會的所有成員均須申報其利益。行政部門亦已採用類似的申報表。

自從監管局被納入申訴專員的監管範圍後，在2010/11年度，申訴專員向監管局行政部門轉介兩宗個案。行政部門就個案進行深入研訊後，向申訴專員作出詳細解釋，並就程序的改進提出適當建議。申訴專員對我們的回覆表示滿意，並無須採取任何進一步行動。我們歡迎這些轉介個案，因為這有助於我們找出不足之處，並促使我們改進。

行政總裁匯報


and licensees considered these programmes timely and useful. However, the CPD programme is deficient in that it is a voluntary scheme. The EAA has kicked off an in-depth discussion on turning the voluntary CPD programme into a mandatory one. Major issues were thrashed out and deliberated, and more ground work will be done to develop a concrete plan. We hope that before long the government will submit legislative amendments to the legislature on behalf of the EAA. It is our firm belief that a continuing professional upgrade is the key to better protect consumer interests.

Training is not confined to imparting knowledge. It is equally important to raise the ethical standards of licensees. Hence, the EAA initiated the Integrity Management Programme, hand in hand with the Independent Commission Against Corruption, in March 2011. This programme, which will span three years, contains a comprehensive set of training materials and a manual for identifying high-risk areas for remedial action in estate agencies. It is the hope of the Authority that through this programme licensees will embrace the ethos “It pays to play fair and proper”!

Mutual recognition of qualifications between the Mainland and hong Kong

Another milestone reached this year was the signing of the agreement between the EAA and the China Institute of Real Estate Appraisers and Agents (CIREA), which provides a framework to enable mutual recognition of qualifications between practitioners of Hong Kong and the Mainland. This mutual recognition scheme aims at promoting the flow of expertise between the two places, and will enable Hong Kong licensees to practise in the Mainland, and vice versa.

review of regulatory framework

Since the EAO was passed in 1997, there have been minor changes to the ordinance. However, with the passing of time, and the changing expectations of the public, a more comprehensive review of the legislation is needed to make sure it continues to provide a strong regulatory framework. The Administration has started the ground work and will report its findings to the Board for deliberation in due course.

corporate governance

A periodic health check is essential in order to ensure that necessary procedures are in place to maintain and uphold the Authority’s image as an impartial statutory body. In the year, the Board reviewed the “Declaration of Interest” system which has been implemented for many years, and updated the declaration form for use by all Board members. In addition, all members of the Board and its committees are required to declare their interests whenever matters come before the Board/Committee for deliberation/decision. On the Administration’s side, a similar declaration form has been adopted.

Since coming under the scrutiny of The Ombudsman, in 2010/11, two cases were referred to the EAA Administration by The Ombudsman. After an in-depth inquest into those cases, the Administration gave detailed explanations to The Ombudsman, with suggested improvements to our procedures where appropriate. The Ombudsman was satisfied with our replies and no further action was required. We welcome these referrals because they help us focus on our deficiencies, and prompt us to make improvements.



提升透明度

一個有公信力並獲得公眾理解和支持的機構，是建基於不斷提升的透明度。2010/11年度，監管局實施一系列新舉措，向公眾宣傳我們的最新政策及發展。自2011年2月起，在每次董事局會議結束後，監管局均刊發新聞稿，讓公眾了解有關會議所作的重大政策決定。此外，除監管局主席每年主持兩次例行新聞簡報會，向公眾公佈監管局的工作外，監管局還舉辦傳媒採訪及簡報會，透過傳媒向公眾公佈監管局制定的最新倡議及措施。這些傳媒採訪及簡報會通常由監管局主席及各委員會主席主持，並有行政部門的高級職員參與。今年3月底，我們還舉辦了巡迴展覽，在三個港鐵站展示監管局的工作。我們亦與傳媒合作，刊登了大量消費者教育文章及專欄。2010/11年度，行政部門共處理116次傳媒查詢，組織25次新聞發佈會／採訪，並發佈十篇新聞稿。

公眾參與及聯絡業界活動

我們的社區外展工作及聯絡計劃並不僅限於傳統媒體。互聯網是一個無界限且全天候運作的平台，因此我們投入更多資源透過網頁發佈資訊。監管局網站已運作多年，2010/11年更作出了革新。新網站版面煥然一新，且介面更簡單易用。網站不僅是向公眾提供有用資訊的平台，亦是連結監管局與持牌人的無形之橋。此次網站革新是監管局引入更多電子化計劃的重要一步。持牌人將可透過這個全新電子平台，獲取最新消息及培訓資訊、提交資料，最終還可在網上續牌。除改進與各界人士的網上連繫外，我們亦升級了電話系統，這亦是公眾及持牌人獲取資訊及查詢最常用的方式。2010年7月，我們安裝了一套具有自動分配來電等先進功能的全新熱線電話系統。雖然新系統安裝後，在初期難免會有些技術性的問題，但該系統有望縮短致電者的等候時間，同時以更簡單易用的方式向用戶提供有用資訊。

與業界交流是我們的規管工作的一個重要一環。行政部門每季定期與八個業界商會代表會面，討論重要事項並交流意見。作為負責任的規管者，監管局定期檢討並在適當情況下加強對業界的監管，從而提高持牌人的水平。定期與業界對話有助從業員了解我們所採取的新舉措及政策的原因，並讓他們作好充分準備，以配合這些措施的實施。

提升監管局員工的能力

員工是我們最寶貴的資產。監管局要成為有效及負責任的規管者，行政部門的團隊必須能夠有效履行職責。2010/11年度，我們推出一系列人力資源政策。2011年年初，我們引入了全新的「表現為本的管理制度」，按員工的工作表現調整他們的薪酬。雖然在制度實行之初，員工難免會有疑慮，但行政部門確信，該制度將鼓勵良好表現，並讓尚有進步空間的同事有進步的動力。行政部門亦非常重視員工培訓。透過定期專題講座、度身訂造的課程以及員工主導的培訓等舉措，培養員工的能力。行政部門各小組緊密合作，取得可喜成果，2011年年初進行的管理人員團隊訓練活動，亦進一步增強了員工的凝聚力。為加強管理層與員工之間的溝通，我們成立了員工委員會。員工代表定期參加會議，提出員工關注的事項供管理層考慮。我亦定期主持行政總裁論壇，向全體員工發佈及解釋董事局通過的重大政策或舉措。我希望通過這些雙向溝通渠道，加深各小組及各級員工之間的互相理解，提升團隊的凝聚力。

行政總裁匯報


increasing transparency

Greater transparency is the cornerstone of a credible organisation and is indispensible in garnering public understanding and support. In 2010/11, the EAA launched a number of new initiatives to keep the public informed of its new policies and developments. With effect from February 2011, a press release was issued at the conclusion of each Board meeting, informing the public of important policy decisions made. Furthermore, apart from the EAA Chairman hosting two regular press briefings each year to apprise the public of the work of the Authority, press interviews and briefings were organised to let the public know, through the media, the new initiatives and measures instituted by the EAA. These interviews and briefings were usually hosted by the EAA Chairman and Committee chairmen, assisted by senior officials of the Administration. A roving exhibition, which publicised the work of the EAA, was mounted at three MTR stations towards the end of March 2011. In collaboration with media groups, a number of consumer education articles and columns were published. In 2010/11, the Administration handled 116 media enquiries and organised 25 press briefings/interviews. Ten press releases were issued.

Public engagement and trade liaison programmes

Our public outreach and engagement programme is not confined to the traditional media. We devoted more resources to the web-based approach of information dissemination, which has no boundary and can be accessed 24/7. The EAA website had been in operation for many years and in 2010/11 it was revamped. In addition to a fresh look, special attention was paid to make it more user-friendly. This platform not only provides useful information to the public, but is also a virtual bridge between the Authority and its licensees. The recent revamp is an important building block for the EAA to introduce more e-initiatives. The new electronic platform will enable licensees to obtain news and training materials, submit information, and eventually renew their licence online. Apart from enhancing our web-based connection with the community, we also upgraded our telephony system, the most common method the public and licensees use to obtain information or make enquiries. Our new enquiry hotline system with advanced features, including Automatic Call Distribution, was installed in July 2010. While it is inevitable that a new system might have teething problems, we are hopeful that this will shorten the waiting time of callers, while at the same time provide useful information in a user-friendly manner.

Our engagement with the trade is an important component of our regulatory work. The Administration meets with representatives of eight trade associations on a quarterly basis, and important issues are discussed and views exchanged. As a responsible regulator, the EAA regularly reviews and, where appropriate, tightens control over the trade, thus raising the standards of licensees. A regular dialogue with the trade helps practitioners understand the rationale behind our new initiatives and policies, and prepares them for the eventual introduction of these measures.

capacity building for eAA staff

Our human resources are the most valuable asset in the organisation. For the EAA to be an effective and responsible regulator, it is imperative that the Administration is a strong team that can deliver. In 2010/11, a number of HR initiatives were launched. A new “Performance



展望未來

對監管局而言，未來數年令人振奮，亦充滿挑戰。樓市很大程度上受到貨幣政策、房屋政策及其他經濟趨勢所影響，直接影響交易數目，從而影響持牌人數目。由於監管局的主要收入來自牌費，牌照申請人及續牌人數的增減勢必影響監管局的財政狀況。監管局繼續維持審慎的理財政策，同時將保持警惕，並適時推行必要的變革。

監管局必須不負厚望，成為高效、負責任、公平、回應迅速的規管者。在監管局成立15周年即將來臨之際，有不少成果固然值得我們引以為傲，但同時我們亦要承認，為使地產代理執業真正專業化，我們還有很長的路要走。2010/11年度，我們開展了多項措施，例如討論是否應將持續專業進修計劃由自願性改為強制性；內地房地產經紀人與香港地產代理的專業資格互認；及全面檢討《地產代理條例》以加強規管制度等，將為監管局的未來發展奠定基礎。

沒有董事局的鼎力支持，如此雄心壯志的行動計劃是無法達成的。我衷心感謝董事局一直以來給我的建議和支持。尤其是，我非常榮幸能有機會與主席共事，她的智慧及遠見鼓舞我和同事，令我們充滿信心，邁步向前。最後，我衷心感謝監管局全體員工的全力支持及盡忠職守，我們共同努力取得了卓越成就，亦已作好充分準備，迎接充滿挑戰而令人振奮的新的一年。

行政總裁余呂杏茜

行政總裁匯報

(左起 ) 監管局服務總監韓婉萍女士、執行總監黃維豐先生，PMSM、行政總裁余呂杏茜女士及規管及法律總監劉淑棻女士。

(From left) EAA Director of Services Ms Ruby Hon, Director of Operations Mr Anthony Wong, PMSM, Chief Executive Officer Mrs Rosanna Ure and Director of Regulatory Affairs and General Counsel Ms Eva Lau.


Management System”, which formed the basis of awarding differential salary adjustments to all staff based on their performance, was introduced in early 2011. While it inevitably caused staff some concern in the initial stage, the Administration firmly believes that such a system will encourage good performance, while those who have room for improvement will have every opportunity to do so. The Administration also put great emphasis on staff training. Regular talks on topical issues, tailor-made courses and staff-initiated training were part of the Administration’s effort to build the capacity of its staff. Close collaboration between various teams in the Administration has produced good results, and this was further enhanced by a team building event organised for managerial staff in early 2011. To strengthen the communication between the management and staff, a Staff Committee was formed. It met regularly and staff representatives brought up issues of concern for the consideration of the management. I also hosted a regular CEO’s Forum, disseminating and explaining important policies or initiatives approved by the Board to all staff. Through these two-way communication channels, I hope to foster a better understanding between the various teams and ranks, and build a more cohesive team.

looking ahead

The next few years will be exciting and challenging years for the EAA. The property market is heavily influenced by monetary and housing policies and other economic trends. This will have a direct impact on the number of transactions and in turn will affect the number of licensees. Since the major source of income of the EAA comes from licence fees, fluctuations in the number of licence applications/renewals will inevitably affect the financial position of the Authority. While the EAA will continue to adopt its prudent financial management policy, we will remain vigilant and make necessary changes when required.

The EAA must live up to the expectation to be an effective, responsible, impartial and responsive regulator. With the approach of the 15th anniversary, the EAA has much to celebrate for the work it has done, but also has to acknowledge that much still needs to be done to make the estate agency practice a truly professional occupation. The various initiatives which started in 2010/11, such as the discussion of turning the voluntary CPD programme into a mandatory one; the mutual recognition of qualifications between EAA licensees and members of CIREA; and the comprehensive review of the EAO to strengthen our regulatory regime etc. will pave the way for the future developments of the EAA.

Such an ambitious action plan cannot be accomplished without the staunch support of the Board. I am grateful for the advice and support the Board has rendered me. In particular, I am privileged to have the chance to work with our Chairman, whose wisdom and foresight has inspired me and my colleagues to move forward with confidence. Last but certainly not least, I am indebted to the support and loyalty of all EAA staff, who collectively have achieved a great deal this year and are geared up for another challenging yet exciting year.

rosanna ureChief Executive Officer



1. 馬豪輝先生 , SBS, JP

Mr Ma Ho-fai, Chairman of Disciplinary Committee

2. 副主席梁永祥先生 , BBS, JP

Ms William Leung, Vice- chairman

3. 主席陳韻雲女士 , BBS, JP

Ms Vivien Chan, Chairman

4. 運輸及房屋局副秘書長李麗儀女士 Ms Annette Lee, Deputy Secretary

for Transport & Housing

5. 李國麟議員 , SBS, JP

Dr Joseph Lee, LegCo Councilor

18 11 13

15 1719

2067 9

1012

14 16 18

23 4 5

監管局成員MeMbers of the estAte Agents Authority


6. 郭昶先生 Mr Anthony Kwok

7. 梁繼昌先生 Mr Kenneth Leung

8. 洪小蓮女士 Ms Katherine Hung

9. 林詩棋先生 Mr Kevin Lam Sze-cay

10. 劉哲寧先生 Mr Liu Che-ning

11. 劉燕卿女士 Ms Connie Lau, Vice- chairman of Practice and Examinations Committee

12. 吳麗莎女士 Miss Melissa Wu

13. 劉詩韻女士 Ms Serena Lau, Chairman of Professional Development Committee

14. 劉振江先生 Mr Lau Chun-kong

15. 廖玉玲女士 Ms Elaine Liu, Chairman of Licensing

Committee

16. 陳超國先生 Mr Chan Chiu-kwok

17. 呂耀華先生 Mr Alexander Lui

18. 鐘詠雪女士 Ms Cynthia Chung

19. 李景亮先生 Mr Lee King-leong

20. 伍景華先生 Mr Ng King-wah


主席chairman

陳韻雲太平紳士，bbs陳韻雲律師行資深合夥人；V 服務式住宅主席* 能源諮詢委員會成員* 香港管理專業協會主題年工作

小組委員

Ms Vivien chan, JP, bbs Senior Partner, Vivien Chan & Co.;Chairman, V serviced apartments* Member, Energy Advisory Committee* Committee Member, Theme Year Working

Party, Hong Kong Management Association

陳韻雲太平紳士，BBSMs Vivien Chan, BBS, JP

梁永祥太平紳士，bbs恒生銀行執行董事兼個人銀行業務主管* 香港浸會大學校董會司庫* 香港演藝學院校董會主席* 僱員再培訓局副主席* 香港創意藝術中心有限公司主席* 西九文化區管理局諮詢會成員* 數碼21資訊科技策略諮詢委員會委員

Mr William leung Wing-cheung, bbs, JPExecutive Director and Head of Personal Banking, Hang Seng Bank Limited* Treasurer, Council of the Hong Kong Baptist University* Chairman, Council of The Hong Kong Academy for

Performing Arts* Vice Chairman, Employees Retraining Board* Chairman, Hong Kong Creative Arts Centre Limited* Member, The Consultation Panel of the West Kowloon

Cultural District Authority* Member, Digital 21 Strategy Advisory Committee

副主席Vice-chairman

梁永祥太平紳士，BBSMr William Leung Wing-cheung, BBS, JP

監管局成員


洪小蓮女士香港理工大學院士

李嘉誠基金會有限公司董事 ; 長江實業（集團）有限公司獨立非執行董事* 中華人民共和國中國人民政治協商

會議天津市第十二屆委員* 香港房屋協會執行委員會成員* 香港科技大學顧問委員會委員* 香港理工大學顧問委員會成員* 香港理工大學企業發展院督導委員

Ms Katherine hung siu-lin Fellow, The HK Polytechnic University

Director, Li Ka-shing Foundation Limited; Independent Non-executive Director, Cheung Kong (Holdings) Ltd.* Member, Tianjin Municipal Committee

of the 12th Chinese People’s Political Consultative Conference of the People’s Republic of China

* Executive Committee Member, Hong Kong Housing Society

* Court Member, The Hong Kong University of Science and Technology

* Court Member, The Hong Kong Polytechnic University

* Steering Committee Member, Institute for Enterprise of the Hong Kong Polytechnic University

陳超國先生Mr Charles Chan Chiu-kwok

陳超國先生第一太平戴維斯估值及專業顧問 (大中華區 )董事總經理* 發展局上訴審裁團 (建築物 ) 成員* 香港測量師學會產業測量組理事會

副主席

Mr charles chan chiu-kwok* Managing Director, Savills Valuation

and Professional Services (Greater China)

* Member, Appeal Tribunal Panel (Buildings) of Development Bureau

* Vice-Chairman, General Practice Division Council, The Hong Kong Institute of Surveyors

成員Members

鍾詠雪女士Ms. Cynthia Chung Wing-Suet

鍾詠雪女士的近律師行合夥人* 入境事務審裁處副總審裁員* 上訴委員會 (房屋 ) 成員* 交通審裁處小組成員* 強制性公積金計劃管理局指引制定

委員會成員* 暴力及執法傷亡賠償委員會委員* 職業退休計劃上訴委員會成員

Ms cynthia chung Wing-suetPartner, Deacons* Deputy Chief Adjudicator of

Immigration Tribunal* Member, Appeal Panel (Housing)* Panel member, Transport Tribunal* Member, The Guidelines Committee

of the Mandatory Provident Fund Schemes Authority

* Member, Criminal and Law Enforcement Injuries Compensation Boards, Hong Kong

* Member, Occupational Retirement Schemes Appeal Board

洪小蓮女士Ms Katherine Hung Siu-lin

MeMbers of the eAA


林詩棋先生Mr Kevin Lam Sze-cay

劉振江先生Mr LAU Chun-kong

林詩棋先生花旗銀行董事* 旅遊業賠償基金管理委員會成員* 財經界人力資源諮詢委員會成員* 證券及期貨事務上訴審裁處成員

Mr Kevin lam sze-cayDirector, Citibank N.A.* Member, The Travel Industry

Compensation Fund Management Board

* Member, Advisory Committee on Human Resources Development in the Financial Services Sector (FinMan Committee)

* Member, The Securities and Futures Appeals Tribunal

劉振江先生仲量聯行國際董事* 香港測量師學會產業測量組2009-

2011 年度理事會成員

Mr lAu chun-kongInternational Director, Jones Lang LaSalle Limited* Member, General Practice Divisional

Council of the Hong Kong Institute of Surveyors from 2009 to 2011

郭昶先生Mr Anthony Kwok Chong

郭昶先生中原集團董事（專業發展）；中原訓練學院院長* 香港地產代理專業協會教育事務

委員會主席* 香港地產代理專業協會副會長* 僱員再培訓局技能提升計劃地產代

理行業小組委員* 香港大學專業進修學院校友會

助理會長

Mr Anthony Kwok chongDirector (Professional Development), Centaline Group; Director, Centaline Training Institute* Education Committee Chairman,

Society of Hong Kong Real Estate Agents

* Vice President, Society of Hong Kong Real Estate Agents Ltd.

* Committee Member, Real Estate Agents Sector (Skills Upgrading Scheme, Employees Retraining Board)

* Vice President, HKU SPACE Alumni

監管局成員


李景亮先生Mr Lee King-leong

李景亮先生港龍地產公司營運總監；典泛有限公司董事* 地產代理聯會第一副主席* 油尖旺大廈組織及業主協會創會

會員

Mr lee King-leongManaging Director, Land Dragon Real Estate Agency; Director, Perfect Focus Ltd* First Vice Chairman,

Property Agencies Association* Founding Member, Yau Tsim Mong

Building Organisation and Owners Association

劉詩韻女士Ms Serena Lau Sze-wan

劉詩韻女士永利行測量師有限公司董事總經理；永利行國際有限公司董事* 香港特別行政區政府選舉管理委員

會建築、測量及都市規劃界別分組委員

* 測量師註冊管理局理事會主席* 輸入優秀人才及專才諮詢委員會

成員* 城市規劃上訴委員團成員* 香港房屋協會審核委員會委員

* 香港測量師學會高級副會長

Ms serena lau sze-wanManaging Director, RHL Surveyors Ltd.; Director, RHL International Limited* Member, Architectural, Surveying &

Planning Subsector of the Electoral Affairs Commission of the HKSAR Government

* Chairperson, Surveyors Registration Board

* Member, Advisory Committee on Admission of Quality Migrants and Professionals

* Member, Town Planning Appeal Board Panel

* Member, Audit Committee, Hong Kong Housing Society

* Senior Vice President, Hong Kong Institute of Surveyors

劉燕卿女士Miss Connie Lau Yin-hing

劉燕卿女士消費者委員會總幹事* 立法規管一手住宅物業銷售督導委

員會委員* 旅行代理商諮詢委員會委員* 旅遊業賠償基金管理委員會委員* 競爭政策諮詢委員會委員* 香港金融管理局接受存款公司諮詢

委員會委員* 食物安全中心食物安全專家委員會

委員

Miss connie lau yin-hingChief Executive, Consumer Council* Member, Steering Committee on the

Regulation of the Sale of First-hand Residential Properties by Legislation

* Member, Advisory Committee on Travel Agents

* Member, Travel Industry Compensation| Fund Management Board

* Member, Competition Policy Advisory Group

* Member, Deposit-taking Companies Advisory Committee, Hong Kong Monetary Authority

* Member, Expert Committee on Food Safety, Centre for Food Safety

MeMbers of the eAA


劉哲寧先生香港上海滙豐銀行有限公司環球銀行及資本市場環球銀行香港及大中華區主管* 證券及期貨事務監察委員會程式程

序覆檢委員會成員* 證券及期貨事務監察委員會收購及

合併委員會委員* 香港會計師公會紀律小組A成員

Mr liu che-ning Head of Global Banking, Hong Kong and Greater China, Global Banking and Markets, The Hongkong and Shanghai Banking Corporation Limited* Member, Process Review Panel for the

Securities and Futures Commission * Member, Takeovers and Mergers

Panel for the Securities and Futures Commission

* Member of Disciplinary Panel A of the Hong Kong Institute of Certified Public Accounts

劉哲寧先生Mr Liu Che-ning

李國麟議員，SBS，JPDr the Honourable Joseph Lee Kok-long, SBS, JP

梁繼昌先生Mr Kenneth Leung Kai-cheong

李國麟議員，sbs，JP香港公開大學科技學院護理學系主任及副教授；立法會議員* 醫院管理局成員* 香港護士管理局成員* 策略發展委員會委員* 獨立監察警方處理投訴委員會副

主席* 廉政公署審查貪污舉報諮詢委員會

委員

Dr the honourable Joseph lee Kok-long, sbs, JPProgramme Leader and Associate Professor of Nursing Studies, School of Science and Technology, The Open University of Hong Kong; Legislative Councillor* Member, Hospital Authority Board* Member, The Nursing Council of

Hong Kong* Member, Commission on Strategic

Development* Vice-chairman, Independent Police

Complaints Council* Member, Operations Review

Committee, Independent Commission Against Corruption

梁繼昌先生高偉紳律師行高級顧問律師及特許稅務顧問* 香港房屋委員會委員* 獨立監察警方處理投訴委員會委員* 香港特別行政區行政長官選舉委員

會委員* 稅務聯合聯絡小組委員* 香港稅務學會稅務政策委員會主席* 公共專業聯盟副主席

Mr Kenneth leung Kai-cheongSenior Consultant & Chartered Tax Adviser, Clifford Chance* Member, Hong Kong Housing

Authority* Member, Independent Police

Complaints Council* Member, Election Committee for the

Election of the Chief Executive of the HKSAR

* Member, Joint Liaison Committee on Taxation

* Chairman, Taxation Policy Committee, The Taxation Institute of Hong Kong

* Vice-chairman, The Professional Commons

監管局成員


馬豪輝太平紳士，sbs胡關李羅律師行高級合夥人* 香港特別行政區第十一屆全國人

大代表* 香港旅遊業議會獨立理事及名譽秘書* 自置居所津貼上訴委員會副主席* 僱員補償援助基金管理局主席

(07/2004 – 06/2010)* 香港空運牌照局委員

(04/2004 – 07/2010)* 破產欠薪保障基金委員會委員

(04/2004 – 03/2010)

Mr Ma ho-fai, sbs, JPSenior Partner, Woo, Kwan, Lee & Lo* Deputy to the 11th National People’s

Congress of the People’s Republic of China

* Independent Director and Honorary Secretary, Travel Industry Council of Hong Kong

* Deputy Chairman, Home Purchase Allowance Appeals Committee Panel

* Chairman, Employees Compensation Assistance Fund Board (07/2004 – 06/2010)

* Member, Air Transport Licensing Authority (04/2004 – 07/2010)

* Member, Protection of Wages on Insolvency Fund Board (04/2004 – 03/2010)

馬豪輝太平紳士，SBS，JPMr Ma Ho-fai, SBS, JP

廖玉玲女士大律師* 稅務上訴委員會委員* 牌照上訴委員會委員* 香港特別行政區護照上訴委員會委員* 婚姻監禮人委任事宜上訴委員會成員* 香港護士管理局委員

Ms elaine liu yuk-lingBarrister-at-law* Member, Board of Review

(Inland Revenue Ordinance)* Member, Licensing Appeals Board* Member, HKSAR Passports

Appeal Board* Member, Civil Celebrant of Marriages

Appointment Appeal Board* Member, The Nursing Council of Hong

Kong

廖玉玲女士Ms Elaine Liu Yuk-ling

呂耀華先生Mr Alexander Lui Yiu-wah

呂耀華先生嘉華國際集團有限公司董事總經理 - 香港地產* 中華人民共和國中國人民政治協商

會議廣州市第十一屆委員* 香港廣佛肇聯誼總會副主席* 廣州地區政協香港委員聯誼會常務

副會長* 香港地產建設商會會董* 香港工商專業聯會執行委員會委員* 上訴委員會 (房屋 ) 委員 (1.7.2002

至31.3.2008)

Mr Alexander lui yiu-wahManaging Director of Hong Kong Properties, K. Wah International Holdings Limited * Member, Guangzhou Municipal

Committee of the 11th Chinese People’s Political Consultative Conference of the People’s Republic of China

* Vice-President, Hong Kong GuangFoZhao Fraternity Association

* Executive Vice-Chairman, GMC Hong Kong Members Association Ltd.

* Director, The Real Estate Developers Association of Hong Kong

* Member of Executive Committee, Business & Professionals Federation of Hong Kong

* The Appeal Panel (Housing)Member (1.7.2002 to 31.3.2008)

MeMbers of the eAA


吳麗莎女士Miss Melissa Wu

伍景華先生Mr Ng King-wah

李麗儀太平紳士 Ms Annette Lee Lai-yee, JP

吳麗莎女士畢馬威中國 (人力資源 )主管合夥人* 衛奕信勳爵聯合世界書院獎學基金

理事會委員* 紀律人員薪俸及服務條件常務委員

會委員

Miss Melissa WuPartner in-charge, Human Resources, KPMG* Member, The Lord Wilson United

World Colleges Scholarship Fund Council

* Member, The Standing Committee on Disciplined Services Salaries and Conditions of Service

伍景華先生黃嘉錫律師事務所執業律師* 能源諮詢委員會成員* 東區防火委員會委員

Mr ng King-wahSolicitor, Jimmie K.S. Wong & Partners* Member, Energy Advisory Committee* Member, Eastern District Fire

Safety Committee

李麗儀太平紳士運輸及房屋局副秘書長 (房屋 ) (代表運輸及房屋局常任秘書長 (房屋 ))

Ms Annette lee lai-yee, JP Deputy Secretary for Transport and Housing (Housing) (Representative for Permanent Secretary for Transport and Housing (Housing))

監管局成員


監管局成員定期與行政部門舉行會議。 Members of the EAA regularly hold meetings with the Administration.

MeMbers of the eAA

嚴選出色人才　建立專業基礎BUILDING THE PROFESSION’S FOUNDATION THROUGH A DEMANDING SELECTION PROCESS

38 地產代理監管局．2010/11年年報

監管局十分重視把關者的角色，因為這是有效的監管機制的基礎。監管局務求透過舉辦資格考試及審批牌照申請，以確保只有達到一定水平的人，才能加入這個行業。

年內，持牌人數目創新高，新入行人士數目亦大幅增加。因此，監管局有效且負責任地履行把關者的職責尤顯重要。為評核申請者是否具備地產代理執業所需的專業知識，我們經驗豐富的資深員工編製了資格考試的試題。我們嚴格審批牌照申請，以確保符合法定要求。

監管局亦認為透過專業交流提升業界的競爭力非常重要。年內，監管局成功與內地的相關機構簽訂協議，落實內地與香港地產代理資格互認計劃的基本安排。

資格考試

地產代理資格考試及營業員資格考試旨在評估有志加入地產代理業的人士是否具備提供地產代理服務所需的專業知識。2010/11年度，地產代理資格考試及營業員資格考試分別舉行了4次和6次。香港考試及評核局代表監管局舉辦資格考試。

作為把關者：資格考試及發牌As A gAteKeePer: quAlifying exAMinAtion AnD licensing

工作報告Operation review

新入行人士必須先通過資格考試，確保他們乎合執業所需的專業水平。 New entrants must pass the qualifying examinations to ensure their professional competence.

年內，持牌人數目創新高，新入行人士數目亦大幅增加。因此，監管局有效且負責任地履行把關者的職責尤顯重要，這樣可令公眾與業界共同得益 — 牌照委員會主席廖玉玲女士

39

As A gAteKeePer: quAlifying exAMinAtion AnD licensing

Estate Agents Authority．Annual Report 2010/11

the number of licence holders reached a new peak and new entrants to the trade increased significantly in the year. it is all the more important for the eAA to discharge its function of gatekeeping effectively and responsibly, thus benefiting the public and the trade as a whole.– Ms Elaine Liu, Chairman of the Licensing Committee

The EAA takes the role of gatekeeping seriously as it is the foundation of an effective regulatory regime. Through organising qualifying examinations and vetting licence applications, the EAA seeks to ensure that only those who meet the required standards be allowed to practise in the trade.

The number of licensees reached a new peak and new entrants to the trade increased significantly in the year. Hence, it is all the more important for the EAA to execute the function of gatekeeping effectively and responsibly. Well-qualified and experienced staff, with the aim of testing candidates’ professional knowledge required for estate agency practice, set the questions in the qualifying examinations. Licence applications were vetted carefully to ensure compliance with statutory requirements.The EAA also considers it important to enhance the competence of the trade through professional exchanges. In the year, the EAA entered into an agreement with its counterpart in the Mainland to lay the foundation for the mutual recognition of professional qualifications of estate agents in Hong Kong and the Mainland.Qualifying examinations

qualifying examinations

The Estate Agents Qualifying Examination (EAQE) and the Salespersons Qualifying Examination (SQE) aim to assess whether persons who wish to practise in the estate agency trade possess the requisite knowledge to provide estate agency services. The EAQE and SQE were held four times and six times respectively in 2010/11. The qualifying examinations were administered by the Hong Kong Examinations and Assessment Authority on behalf of the EAA.

40

作為把關者：資格考試及發牌

地產代理監管局．2010/11年年報

2010/11年度，報考地產代理資格考試及營業員資格考試的人數分別為9,221人及13,036人。

與2009/10年度相比，參加地產代理資格考試及營業員資格考試的人數分別大幅增加約52.2%及65%至8,630人及11,951人。

本年度地產代理資格考試及營業員資格考試的平均合格率分別為35%及51%，而2009/10年度的合格率則為50.9%及59.5%。

在資格考試的考生當中，有學生及各行各業的人士，包括物業管理、建築與測量、銀行、會計、零售及批發。首次參加資格考試的考生約有55%

資格考試合格率Pass rate of qualifying examinations

59.5%

50.9%

51%

35%

2008/2009

70

60

50

40

30

2009/2010 2010/2011

42.7%

39.0%

2008/2009

8,000

9,000

10,000

11,000

12,000

7,000

6,000

5,000

4,000

3,000

2009/2010 2010/2011

3,725

5,6705,994

7,245

8,630

11,951

營業員資格考試Salespersons Qualifying Examination

地產代理資格考試Estate Agents Qualifying Examination

考生人數number of candidates

59.5%

50.9%

51%

35%

2008/2009

70

60

50

40

30

2009/2010 2010/2011

42.7%

39.0%

2008/2009

8,000

9,000

10,000

11,000

12,000

7,000

6,000

5,000

4,000

3,000

2009/2010 2010/2011

3,725

5,6705,994

7,245

8,630

11,951

營業員資格考試Salespersons Qualifying Examination

地產代理資格考試Estate Agents Qualifying Examination

41



考生參加考試的次數number of attempts at examinations

地產代理資格考試estate Agentsqualifying

examination

營業員資格考試salespersonsqualifying

examination

資料來源：資格考試報名表Source of information: qualifying examination entry forms

14.9% 13.1%

54.5%

57.9%

10.4% 9.4%

20.2% 19.6%

第一次應考1st attempt

第二次應考2nd attempt

第三次或以上應考3rd attempt or more

沒有提供資料Unknown

年內，監管局批出的新申領個人牌照，較上年度增加58%。During the year, the number of newly granted individual licences increased by 58%.

A total of 9,221 candidates registered for the EAQE and a total of 13,036 candidates registered for the SQE in 2010/11.

Compared to 2009/10, the number of candidates sitting the EAQE and SQE soared by about 52.2% and 65% to 8,630 and 11,951 respectively.

The average pass rates for the EAQE and SQE were 35% and 51% respectively, as against 50.9% and 59.5% in 2009/10.

Candidates included students and people from a wide range of occupational backgrounds, including property management, construction and surveying, banking, accounting, retail and wholesale business. About 55% of the candidates sat the examination for the first time.

42



發牌

於2011年3月31日計算的個人牌照總數創出新高，達31,984個，較去年同期上升17%。公司牌照和營業詳情說明書數目亦創新高，分別是2,512和5,658個，較上年度分別增加25%和18%。

在31,984名持有個人牌照人士當中，17,629人持有營業員牌照，14,355持有地產代理（個人）牌照。

本年度，監管局共批出7,189個新申領的個人牌照，較上年度增加58%。

監管局審閱每一份牌照申請，以確保申請人符合法定條件。年內，監管局拒絕了100宗牌照申請，原因包括申請人未能符合學歷要求或並非持牌的「適當人選」。

報考資格考試考生的職業背景occupational background of candidates registered for the qualifying examinations

地產代理資格考試estate Agents

qualifying examination

資料來源：資格考試報名表Source of information: qualifying examination entry forms

17.5%沒有提供資料No information provided

12.9%其他Others

1.7%無業

Unemployed

18.5%地產代理業

Estate agency trade

2.9%建築／測量

Construction/surveyingy

1.0%資訊科技

Information technology

9.9%零售／批發Retail/wholesale business

11.2%銀行／會計／投資Banking/accounting/investment

1.4%旅遊

Tourism

4.8%物業管理Property Management

0.7%銷售及推廣

Sales and Marketing

1.3%法律Legal

1.5%文書工作

Clerical

2.7%酒店╱飲食

Hotel/catering

3.9%保險

Insurance

3.1%教育╱社會服務Education/social service

5.1%學生Students

43



licensing

TThe number of individual licences as at the end of March 2011 grew by 17% over that of 31 March 2010 to a record high of 31,984. The number of company licences and statements of particulars of business (SPOBs) also reached new heights at 2,512 and 5,658 respectively, an increase of 25% and 18%.

Among the 31,984 individual licensees, 17,629 were holders of a salesperson’s licence and 14,355 were holders of an estate agent’s licence (individual).

During the year, the EAA granted 7,189 new individual licences, an increase of 58 % compared to that of the previous year.

The EAA vets each licence application to ensure compliance with the relevant laws. In the year under review, 100 applications were rejected for different reasons such as applicants not having the required educational qualifications or not being “fit and proper” persons.

營業員資格考試salespersons

qualifying examination

17.9%沒有提供資料

No information provided

15.1%其他Others

1.7%無業

Unemployed

9.4%地產管理 Property Management

0.7%資訊科技

Information technology

7.6%銀行／會計／投資Banking/accounting/investment

0.9%銷售及推廣

Sales and marketing

15.5%零售／批發Retail/wholesale business

1.9%旅遊

Tourism

2.0%見習營業員

Salesperson-trainee

0.3%法律Legal

2.2%建築／測量Construction/surveying

2.1%文書工作

Clerical

6.2%酒店╱飲食Hotel/catering

3.7%保險

Insurance

2.2%教育╱社會服務

Education/social service

9.2%學生Students

44



4 這些人士都是由於1999至2001年的三年過渡期內所實施的豁免措施而繼續獲發牌照的。

教育水平和年齡分布

於2011年3月31日統計，30%的持牌人具備大專或以上學歷。教育程度低於中五的持牌人少於4%4。

以2011年3月31日計算，持牌人的平均年齡為36.8歲，較上年度同日的38.0歲略低。

商號業務規模

大多數地產代理商號仍然以小規模經營。於2011年3月31日計算的數字顯示，91%的地產代理商號只有一間店舖，而同時經營五間分行或以上的商號只佔少於1%。

牌照數目（於2011年3月31日計算）

number of licences (as at 31/3/2011代理業務經營模式（於2011年3月31日計算））

Mode of operation of estate agency businesses (as at 31/3/2011)

個人牌照總數Total number of

individual licences

31,984總數Total

5,658*

17,629

14,355

2,512

3,780

273

1,605

0

700

1400

2100

2800

3500

4200

0

2000

6000

10000

14000

18000

營業員牌照Salesperson’s

licence

有限公司Limited

companies

地產代理（個人）牌照


(individual)

合夥經營Partnerships

地產代理（公司）牌照


(company)

獨資經營Sole

proprietorships

17,629

14,355

2,512

3,780

273

1,605

0

700

1400

2100

2800

3500

4200

0

2000

6000

10000

14000

18000

*商舖數目 Number of shops

45



educational attainment and age distribution

At the end of March 2011, 30% of licensees had an educational level of tertiary or above. Less than 4% had an educational level below Form Five4.

As at 31 March 2011, the average age of licensees was 36.8 years, slightly lower than that of the previous year (38.0 years).

size of operations

The bulk of estate agency operations remained small in scale. At the end of March 2011, 91% of agencies operated as single-shop businesses and less than 1% had five or more shops.

4 These individuals continued to be qualified for licences because of the exemption measures introduced during the three-year transition period from 1999 to 2001.

代理業務的規模（於2011年3月31日計算）

size of operation of estate agency businesses (as at 31/3/2011)

牌照及營業詳情說明書數目number of licences and sPobs

商舖數目Number of shops

有限公司經營Limited companies

合夥經營Partnerships

獨資經營Sole proprietorships

1 2 3 4 5–10 11–20 21–30 >30

2,827 160 45 13 27 6 1 4

235 12 2 2 0 0 0 0

1,397 77 9 2 3 0 0 0

營業員牌照Salesperson’slicence

地產代理（公司）牌照Estate agent’s licence(company)

地產代理（個人）牌照Estate agent’s licence(individual)

營業詳情說明書SPOB

31/3/2009

15,000

18,000

12,000

9,000

6,000

3,000

31/3/2010 31/3/2011

1,673 2,017

4,1834,780

2,512

5,65810,784

13,037

11,795

14,396

14,355

17,629

46



持牌人學歷（於2011年3月31日計算）

educational level of licensees (as at 31/3/2011)

地產代理（個人）牌照持有人holders of

estate agent’slicence (individual)

營業員牌照持有人holders of

salesperson’slicence

整體overall

6.1% 2.1% 3.9%38.9% 23.1% 20.2%

55.0% 74.8% 65.9%

中五以下Below F.5

完成中五或具同等學歷Completed F.5 or equivalent

大專或以上Tertiary or above

持牌人年齡（於2012年3月31日計算）

Age of licensees (as at 31/3/2011)

年齡Age

地產代理（個人）牌照持有人Holders of estate agent’s licence (individual)

營業員牌照持有人Holders of salesperson’s licence

整體Overall

< 21 21–30 3 – 40 41– 50 51– 60 > 60

1.5% 14.0% 31.0% 37.3% 13.8% 2.4%

10.1% 34.1% 28.3% 22.1% 5.0% 0.4%

6.3% 25.0% 29.6% 28.9% 8.9% 1.3%

47



持牌人選擇的通訊語言（於2011年3月31日計算）

licensees’ choice of language in communication (as at 31/3/2011)

新申領牌照數目number of new licences granted

地產代理（個人）牌照持有人holders of

estate agent’slicence (individual)

營業員牌照持有人holders of

salesperson’slicence

整體overall

12.9% 5.0% 8.6%

87.1% 95.0% 91.4%

中文Chinese

英文English

地產代理（個人）牌照Estate agent’s licence (individual)

營業員牌照Salespersons’s licence

2008/2009 2009/2010 2010/2011

734

1,697 1,540

3,010

2,188

5,001

0

1000

2000

3000

4000

5000

總數Total

2,431總數Total

4,550總數Total

7,168

48



《內地與香港關於建立更緊密經貿關係的安排》之下的專業資格互認安排

地產代理監管局與中國房地產估價師與房地產經紀人學會（中房學）於2010年11月3日簽訂協議，落實內地與香港地產代理專業資格互認計劃的基本安排。此安排旨在推動中港兩地地產代理業界專業人才交流與合作，同時促進兩地業界的長遠發展。

根據協議，在未來五年，監管局和中房學每年會分別推薦若干名合資格的地產代理參加由對方專門開設的培訓課程及考試，在完成課程並通過考試後，參加者可申請相關的執業資格，在內地及香港執業。雙方亦就如何處理針對參與計劃的持牌人的投訴及對違規持牌人進行紀律處分達成共識。雙方亦將建立通報機制，互相通報違規持牌人的資料，以確保監管機制的效力。隨着實施細則於去年年底進一步制定，監管局自2011年2月1日至28日接受推薦申請，期間共收到266份香港持牌人的申請，其中245名申請者獲得推薦。培訓課程及考試定於2011年7月進行。

監管局與中房學簽訂協議書，落實內地與香港地產代理資格互認計劃的基本安排。 The EAA and the CIREA entered into an agreement to lay down the foundation for the mutual recognition of professional qualifications of estate agents in the mainland and Hong Kong.

49



Mutual recognition of professional qualification under Mainland and hong Kong closer economic Partnership Arrangement (cePA)

The EAA and the China Institute of Real Estate Appraisers and Agents (CIREA) entered into an agreement on 3 November 2010 to lay down the foundation for the mutual recognition of professional qualifications of estate agents in the Mainland and Hong Kong. The arrangement was intended to boost professional exchanges and cooperation between the estate agency trade in the Mainland and Hong Kong, and to facilitate the long-term development of the industry of both sides.

According to the agreement, the EAA and the CIREA will each nominate a certain number of estate agents to participate in a tailor-made training course and examination organised by both sides every year in the following five years. Upon completing the training course and passing the examination, the participants may then apply for the relevant qualification which will enable them to practise in the Mainland and Hong Kong. The signing parties also reached agreement regarding the handling of complaints against licensees under the scheme and the imposition of disciplinary sanctions against non-compliant licensees. A notification mechanism under which each side will report information about licensees who have been disciplined will also be established to ensure the effectiveness of the regulatory regime.

With the implementation details finalised in late 2010, applications for nomination were opened from 1 to 28 February 2011 during which a total of 266 applications from Hong Kong were received, and of which 245 applications were approved. The training course and examination were scheduled to be held in July 2011.

裝備充足　積極規管A WELL-EQUIPPED AND PROACTIVE REGULATOR

52

As A regulAtor: lAW enforceMent AnD DisciPlinAry sAnctions



5 包括由其他執法機構、政府部門及其他機構轉介的個案

監管局的使命是規管香港地產代理執業，因此必須有效和公平地執行《地產代理條例》及其附屬法例。

監管局主要透過調查投訴、日常巡查和處分違規持牌人等方法，致力確保從業員守法循規。此外，監管局還採取新措施和方法處理特別問題。

監管局因應市況變化不時檢討業界的執業手法和發出新的執業通告，為從業員提供新執業指引。

執法行動

投訴、巡查和查詢數目

2010/11年度，監管局共接獲6595宗投訴個案。這些個案大部分關於二手物業，只有40宗（佔6%）涉及一手樓盤。

監管局在同年度完成了562宗投訴個案的調查工作，其中125宗（佔22%）的指稱成立。指稱成立的個案當中，只有4宗與一手物業有關。該125宗個案的主要指稱包括沒有與客戶簽署或解釋地產代理協議、沒有進行土地查冊或沒有向客戶提供查冊文本，以及允許未獲適當授權的人士簽署協議。

作為規管者：執法行動及紀律處分As A regulAtor: lAW enforceMent AnD DisciPlinAry sAnctions

監管局處理公眾人士的投訴。(模擬照片 )

The EAA handles complaints from members of the public. (simulated photo)

監管局不時檢討業界的執業手法和發出新的執業通告，為從業員提供新執業指引。 — 執業及考試委員會主席梁永祥先生，BBS，JP


53



the eAA reviews the practices of the trade and issues new practice circulars from time to time to provide new guidelines and directives for the trade to follow.– Mr William Leung Wing-cheung, Chairman of Practice and Examination Committee

With the mission to regulate the practice of the estate agency trade in Hong Kong, it is of utmost importance for the EAA to enforce the Estate Agents Ordinance (EAO) and its subsidiary legislation fairly and effectively.

The EAA strives to ensure compliance with legislative and regulatory requirements among practitioners mainly through investigating complaints, conducting compliance inspections and disciplining non-compliant licensees. In addition, new measures and approaches are also adopted to deal with special issues.

In response to the changing market conditions, the EAA reviews the practices of the trade and issues new practice circulars from time to time to provide new guidelines and directives for the trade to follow.

law enforcement

number of complaints, inspections and enquiries

In 2010/11, the EAA received 6596 complaints. The majority were related to second-hand properties, with only 40 cases, or 6%, related to first-hand properties.

During the same period, the EAA completed investigations into 562 complaints, of which 125, or 22%, were eventually substantiated. Four of the substantiated cases concerned first-hand properties. Key allegations of the substantiated cases included failure to sign an estate agency agreement with clients or to explain the agreement to clients, failure to conduct a land search or provide clients with a copy of the search results, and allowing a person without proper authorisation to sign an agreement.

6 Includes cases referred to the EAA by other law-enforcement agencies, government departments and other organizations

54

作為規管者：執法行動及紀律處分 As A regulAtor: lAW enforceMent AnD DisciPlinAry sAnctions



本年度，監管局共進行了2,632次巡查，當中1,150次是巡查一手樓盤 7，其餘的1,482次是巡查地產代理商舖。此外，監管局就網上物業廣告進行了490次抽查。在巡查過程中，監管局提醒從業員遵守相關法例規定，並要求他們糾正不足之處。監管局進行巡查後，就82宗涉嫌違規個案主動展開調查。

年內，監管局也立案調查了60名涉嫌在申請牌照時作出虛假聲明或提供虛假文件、以及未能符合法定「適當人選」要求的持牌人／牌照申請人。

同期，監管局完成調查118宗主動展開調查的個案，其中96宗的指稱成立。該96宗個案當中，29宗有關一手物業。

監管局亦有處理大眾和業界的查詢。這些查詢涉及地產代理法例、操守和執業等事宜。2010/11年度，監管局共處理了9,032宗查詢。

643

735

659

562

638663

0

200

400

600

800

投訴個案complaint cases

接獲的個案Received

已完成的個案*Completed*

2008/2009 2009/2010 2010/2011

* 部分是往年接獲的個案

#　包括投訴人撤回投訴

* Some cases completed in a year were brought forward from previous years.

7 包括樓盤所在處、樓盤銷售處及其附近


55



監管局處理公眾和業界對於地產代理法例和執業事宜的查詢。（模擬照片）The EAA handles enquiries from the public and the trade on estate agency laws and practice. (simulated photo)

7 Includes the development sites, sales offices and vicinity

In the year, the EAA conducted 2,632 compliance inspections, of which 1,1501 were at first sale sites and 1,482 at estate agency shops. The EAA also carried out 490 inspections of online advertisements posted by estate agencies. During the inspections, EAA staff briefed practitioners on the various legislative requirements and gave on-the-spot advice to rectify shortcomings. As a result of these inspections, the EAA instigated investigations into 82 suspected non-compliant cases.

The EAA also launched investigations into 60 licensees/licence applicants who had allegedly either made false declarations or provided false documents when applying for a licence, or who were suspected to have failed to meet the statutory requirement of being “fit and proper” persons.

A total of 118 self-initiated investigations were completed in the year, among which 96 cases were substantiated. Of the 96 cases, 29 were related to first-hand properties.

The EAA also handled enquiries from both the public and the trade on estate agency related legal issues, conduct and practices. In 2010/11, 9,032 enquiries were handled.

56




破產個案bankruptcy cases

接獲的個案Received

已完成的個案*Completed*

2008/2009 2009/2010 2010/2011

* 部分是往年接獲的個案 * Some cases were brought forward from previous years

0

100

50

150

91

76

34

45

72

104

已完成的投訴個案結果*results of completed complaint cases*

211 228210

62

58

204

245151

197

52

指稱成立Chinese

指稱不成立English

資料不足English

其他#English

2008/2009總數 Total

735


663

2010/2011總數 total

562

* 部分是往年接獲的個案

# 包括投訴人撤回投訴或由於被投訴人不再是持牌人而終止調查

* Some cases were brought forward from previous years.

# Includes cases which were withdrawn by the complainants.

217 125


57



* 部分是往年展開調查的個案

# 包括由於被投訴人不再是持牌人而終止調查或資料不足

合規巡查compliance inspections

一手樓盤銷售處*First-sale sites*

地產代理商舖Estate agency shops

2008/2009 2009/2010 2010/2011

1,128

788

1,129

913

1,150

,1,482

0

500

1000

1500

2000

* 包括樓盤所在處、樓盤銷售處及其附近 * Includes the development sites, sales offices and vicinity areas

* Some cases were brought forward from previous years

# Includes cases which were curtailed and those that were not proven

6

74 96

5019

11

13 11

指稱成立Chinese

指稱不成立English

其他#English


126


106

2010/2011總數 total

118

70

主動調查的個案結果self-initiated investigation cases

58




地產代理從事舊樓收購活動

監管局關注地產代理從事收購舊樓作私人重新發展的執業手法。

在《土地（為重新發展而強制售賣）（指明較低百分比）公告》於2010年4月1日生效及門檻百分比由90%降至80%後，監管局於2010年5月組織了一個「從業員參與舊樓收購的執業手法」論壇。來自12間積極參與此類工作的持牌地產代理公司代表、運輸及房屋局、香港警務處及香港消費者委員會均出席討論有關方面的實務工作。載有收購舊樓單位從業員執業指引的新執業通告已於2010年8月2日發出。

自新執業通告於2010年8月2日生效以來，監管局於2011年3月底共接獲72宗相關查詢及7宗投訴個案。這些指稱涉及臨時買賣合約條文不完整和佣金爭議。亦有若干關於收購所涉建築物外牆懸掛大型橫額或其他廣告材料造成滋擾的查詢。為從速解決問題，監管局主動調解。經調解後，相關地產代理最後自願拆卸所有橫額

此外，由於接獲有關降低強制售賣門檻的查詢增加，監管局於2010年9月初向發展局反映有需要進行公眾教育。監管局亦處理發展局轉介的投訴和查詢。

無牌從事地產代理工作

根據《地產代理條例》第15條及第16條，無營業員牌照或地產代理牌照而從事地產代理工作，即屬違法。監管局發現的個案均轉介予警方。

2009/10年度，監管局接獲62宗關於無牌從事地產代理工作的查詢或投訴。2010/11年度，這類查詢或投訴增至64宗。由於調查困難，監管局採取 “放蛇” 行動，收集無牌從事地產代理工作的證據。2010/11年度，經調查後，監管局共向警方轉介17宗可疑個案，其中4名人士被法庭定罪，另有8宗個案仍在接受警方調查，其餘5宗個案因證據不足而終止調查。

監管局要確保香港地產代理業界發牌制度的良好運作，以保障公眾利益，絕不容忍任何無牌從事地產代理工作的違法行為。

領匯管理有限公司個案

2009年年中，有市民質疑領匯管理有限公司（「領匯」）涉嫌無牌從事地產代理工作，監管局就此展開調查。經初步調查後，監管局將個案轉介予警方跟進。2010年11月，警方告知監管局，在諮詢律政司後，警方不對領匯採取進一步行動。

其後，監管局紀律委員會於2011年4月對領匯進行紀律研訊。紀律委員會認為領匯沒有確保地產代理公司的董事中，最少有一名董事是持牌地產代理，就此，領匯被譴責及罰款10,000港元。領匯亦因未能於一名屬持牌地產代理的董事離任後31天內書面通知監管局而被譴責。

作為有效的規管者，監管局將處理其職權範圍內的每宗個案，確保違規的地產代理即使離開本行業亦無法逃避其責任。


59



estate agents engaging in the acquisition of old buildings

The EAA is concerned about the practice of estate agents involved in the acquisition of old buildings for private redevelopment.

After the Land (Compulsory Sale for Redevelopment) (Specification of Lower Percentage) Notice came into effect on 1 April 2010 and the threshold percentage was lowered from 90% to 80%, the EAA organised a forum entitled “Practitioners’ practices in acquisition of old buildings” in May 2010. Representatives from 12 licensed estate agency companies actively involved in the field of work, the Transport and Housing Bureau, the Hong Kong Police Force and the Hong Kong Consumer Council attended and discussed the best practice on the subject matter. A new practice circular was issued on 2 August 2010 setting out guidelines on practitioners’ practices in the acquisition of flats in old buildings.

As at the end of March 2011, the EAA has received 72 related enquiries with seven complaint cases generated since the new practice circular took effect on 2 August 2010. The allegations were related to incomplete provisional sale and purchase agreements and commission disputes. There were also some enquiries related to the nuisance caused by big banners or other advertising materials hanging on the outer walls of the buildings in acquisition. In order to resolve the issue speedily, the EAA took the initiative to mediate. All banners were later removed by the concerned estate agents voluntarily after mediation.

Furthermore, due to the increased enquiries received on the lowering of threshold for compulsory sale, the EAA approached the Development Bureau in early September 2010 to reflect the need of public education. The EAA also handles complaints and enquiries referred by Development Bureau.

unlicensed estate agency work

Pursuant to Section 15 and Section 16 of the EAO, it is an offence to carry out estate agency work without a salesperson’s licence or estate agent’s licence. Cases coming to the attention of the EAA were referred to the Police.

In 2009/10, the EAA received 62 enquiries or complaints about unlicensed estate agency work. In 2010/11, the number of enquiries or complaints increased to 64. Due to investigation difficulties, the EAA applied special investigation techniques and mounted covert operations to gather evidence of unlicensed estate agency work. In 2010/11, the EAA referred a total of 17 cases of suspected offences to the Police after investigation. Four individuals were later convicted by courts while eight other cases were still under police investigation. The remaining five cases were not pursued due to insufficient evidence.

The EAA operates the licensing regime of the Hong Kong estate agency trade to protect public interest and will not tolerate the offence of carrying out estate agency work without a licence.

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一手樓盤銷售

年內，監管局加強打擊地產代理在一手樓盤銷售處的違反秩序行為，尤其是在馬路上截車招客的危險行為。本年有12名違規的從業員因違反秩序而被調查，而2009/10年度則為6名。

監管局審視了10份關於一手樓盤銷售活動的執業通告，並按一手樓盤銷售活動的秩序、操守和資料提供這些主題，更新綜合為三份新的執業通告。其中引入的一項新措施規定地產代理需委任一名監督，負責調配及監察一手樓盤銷售處的前線員工。

年內，行政部門高層走訪了11家大型發展商，目的是增強他們對新指引的理解，以及加強雙方在規管一手樓盤銷售推廣活動的地產代理方面的合作。

網上抽查

監管局對地產代理發佈的網上物業廣告，進行了490次抽查。除一般巡查違規行為外，監管局亦關注用作物業廣告的從業員公司網誌及手機應用程式。

監管局與大型物業廣告網站的服務供應商保持聯絡，尋求他們的合作，提供簡單易用的功能，以便從業員遵守規定，例如強制要求輸入從業員姓名及牌照號碼，授權發佈廣告的從業員可以在線上移除過時廣告。

監管局向地產代理公司管理層闡釋關於一手樓盤銷售的執業通告。The EAA explained the practice circular on first-sale activities to the management of estate agencies companies.


61



the case of the link Management limited

In mid 2009, some members of the public questioned the suspected unlicensed estate agency work of The Link Management Limited (“LML”). The EAA probed into the matter and after initial investigation, the case was referred to the Police for consideration. In November 2010, the EAA was informed by the Police that they would take no further action against LML after consulting the Department of Justice.

An inquiry hearing was subsequently conducted against LML in April 2011. The EAA’s Disciplinary Committee was of the view that LML failed to ensure that at least one director of a corporate licensed estate agent must be a licensed estate agent. For that, LML was reprimanded and fined $10,000. LML also failed to notify the EAA in writing within 31 days that a person ceased to be a director, and was thus reprimanded.

As an effective regulator, the EAA will pursue every case within its purview and ensure that estate agents who have committed disciplinary breaches would not evade their responsibilities even after leaving the industry.

first sales

In the year, the EAA stepped up action against disorderly behaviour at first sale sites, in particular the dangerous acts of intercepting vehicles to tout for business. Twelve non-compliant practitioners were investigated for such contraventions during the year as compared to six practitioners in the preceding year of 2009/10.

The EAA had reviewed 10 practice circulars on first sale activities, updated and consolidated them into three new practice circulars on the subjects of order, conduct and supply of information in first sale activities. One of the new measures introduced was to require estate agencies to appoint a controller responsible for the deployment and supervision of their frontline employees at first sale sites.

In the year, senior staff of the Administration visited 11 major developers with a view to enhancing their understanding on the new guidelines and cooperation in the regulation of estate agents appointed for first sale promotional activities.

cyber patrols

The EAA conducted cyberspace patrols and spot-checked 490 online property listings posted by estate agencies. Apart from general inspection of non-compliances, attention was also given to the company blogs of practitioners and mobile applications designed for property listings.

The EAA liaised with service providers of major property listing websites and cooperation was sought on the provision of more user-friendly functions to facilitate practitioners’ compliance, such as mandatory entries of practitioner’s name and licence number, and authorising online deletion of outdated advertisements by the practitioners who posted them.

62




紀律委員會舉行紀律研訊，裁定地產代理的違規個案的指稱是否成立，隨後對相關持牌人施行紀律處罰。為確保紀律委員會無私無懼、不偏不倚地行使其紀律權力，紀律委員會嚴格遵守所制定的指引及程序，確保以公平及貫徹一致的立場，處理紀律個案。－紀律委員會主席馬豪輝先生，SBS，JP

模擬紀律研訊照片。A staged inquiry hearing.

紀律研訊

紀律委員會就持牌人的違規個案舉行紀律研訊。

2010/11年度，紀律委員會判定224宗個案，其中212宗（佔94.6％）指稱成立。

為此，共有222名持牌人受到處分，其中144名為個人持牌人 8，78名為公司持牌人 9。

同年度，紀律委員會沒有撤銷任何牌照。然而，紀律委員會暫時吊銷了29個牌照，吊銷期由7天至9個月不等。這些個案當中，部分持牌人因作出欺詐性、舞弊或不誠實的行為而被定罪。部分個案則涉及持牌人作出違反專業操守的行為，例如作出誤導性陳述、未有保障和促進客戶的利益，以及沒有盡量小心和盡一切應盡的努力。

共有101名持牌人被罰款，金額由500港元至50,000港元不等。

8 包括以獨資／合夥方式經營地產代理業務的獨資經營者／合夥人9 有限公司


63



inquiry hearings

The Disciplinary Committee conducts inquiry hearings into cases of non-compliance by licensees.

In 2010/11, the Disciplinary Committee adjudicated 224 cases of which 212 were substantiated (i.e. 94.6%).

As a result, a total of 222 licensees were disciplined, among which 144 were individual licensees8 and 78 company licensees9.

During the period, there was no revocation of licences but 29 licences were suspended for periods ranging from seven days to nine months. These licensees were found to have been convicted of offences involving fraudulent, corrupt or dishonest acts, or to have engaged in unprofessional conduct such as making misrepresentations, failing to protect and promote the interests of their clients, or failing to exercise due care and due diligence.

A total of 101 licensees were fined, with the fine ranging from $500 to $50,000.

the Disciplinary committee conducts inquiry hearings to decide whether cases of non-compliance by estate agents are substantiated and then impose disciplinary sanctions on the licensees concerned. to ensure that the committee exercises its disciplinary powers without fear or favour, it follows strictly guidelines and procedures drawn up to ensure consistency and fairness in handling disciplinary cases.– Mr Ma Ho-fai, Chairman of Disciplinary Committee

8 Includes sole-proprietors and partners of estate agency firms9 Limited companies

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常見違規事項 *

common types of non-compliance*數目

number

1. 沒有管有訂明的物業資料Failure to possess prescribed property information

48

2.沒有簽訂地產代理協議Failure to enter into an estate agency agreement

45

3.沒有進行土地查冊／向買方或租客提供土地查冊結果的文本Failure to conduct a land search/supply the land search result to the purchaser/tenant

28

4.

沒有確保簽署臨時買賣合約／臨時租約的人士已獲賣方／業主授權代為簽署1.Failure to ensure that the signatory was duly authorised by the vendor or landlord to sign the Provisional Agreement for Sale and Purchase/Provisional Tenancy Agreement

23

5.未經賣方書面同意而發出廣告1.Advertising without vendor's prior written consent

17

6.沒有按照訂明表格的指示或規定填寫訂明表格Failure to complete prescribed form as directed or specified in the form

16

7.因有刑事紀錄而不適合持牌或繼續持牌Not eligible to hold or continue to hold a licence due to a criminal conviction

16

8.

向客戶提供不實物業資料，或沒有核查提供予客戶的物業資料的準確性Providing incorrect property information to a client or failure to verify the accuracy of property information provided to a client

15

9.發出虛假或誤導性廣告Issuing a false or misleading advertisement

13

10.沒有制定適當的程序或制度以有效控制僱員Failure to exercise effective control on his employees by establishing proper procedures or systems

7

* 部分紀律研訊個案涉及超過一項違規事宜* There was more than one type of non-compliance in some inquiry hearing cases


65



10 在部分個案中，同一持牌人在一宗個案中受到超過一項紀律處分

11 除紀律委員會在牌照上附加條件外，監管局亦根據《地產代理條例》第17(3)條訂明的權力，在2008/09年度在40名破產持牌人的牌照上附加條件；2009/10年度在72名破產持牌人的牌照上附加條件；2010/11年度在38名破產持牌人的牌照上附加條件

* 部分紀律研訊個案涉及超過一名持牌人* There might be more than one licensee involved in a hearing

10 In some cases more than one disciplinary sanction was imposed on the same licensee

11 Apart from the attachment of conditions by the Disciplinary Committee, the EAA also attached conditions to the licence of 40 bankrupt licensees in 2008/09, 72 in 2009/10 and 38 in 2010/11, pursuant to section 17(3) of the EAO

紀律委員會施行的紀律處分Disciplinary powers exercised by the Disciplinary committee

2008/09 2009/10 2010/11

紀律研訊次數number of hearings

208 186 224

被處分的持牌人或公司數目*number of licensees disciplined*

226 188 222

紀律處分性質 3

type of sanction3

訓誡或譴責Admonishment/reprimand

191 148 209

罰款Fine

71 50 101

在牌照上附加條件 7

Attachment of conditions to licence7 100 87 102

暫時吊銷牌照Suspension of licence

26 34 29

撤銷牌照Revocation of licence

1 0 0

66




法律事務

監管局不時檢討業界的執業手法並發出執業通告，為地產代理業凡執業手法提供指引。年內，監管局發出了6份執業通告，課題包括「違例建築工程」、「一手住宅樓盤銷售」、「收購舊樓單位」，以及「物業資料及土地查冊」。

於2011年3月底，監管局正更新一手住宅樓盤銷售推廣活動的操守的最新執業通告，以能更有效規管地產代理進行一手樓盤推廣活動時的操守。

年內，監管局發出了以下執業通告：

執業通告題目編號

違例建築工程 (2) 10-01 (CR)

一手住宅樓盤銷售 (1)一手樓盤銷售地點的秩序事宜

10-02 (CR)

一手住宅樓盤銷售 (2)進行樓盤推廣活動的操守

10-03 (CR)

一手住宅樓盤銷售 (3)物業資料

10-04 (CR)

收購舊樓單位 10-05 (CR)

物業資料及土地查冊 11-01 (CR)


67



titles of Practice circulars number

Unauthorised Building Works (2) 10-01 (CR)

First Sale of Residential Properties (1)Order at first sale sites

10-02 (CR)

First Sale of Residential Properties (2)Conduct in promotional activities

10-03 (CR)

First Sale of Residential Properties (3)Property information

10-04 (CR)

Acquisition of Flats in Old Buildings 10-05 (CR)

Property Information and Land Search 11-01 (CR)

legal services

The EAA reviews practices of the trade and issues practice circulars to provide guidelines and directives on estate agency practice from time to time. In the year under review, six circulars covering the topics of unauthorised building works, first sale of residential properties, acquisitions of flats in old buildings and property information and land search were issued.

At the end of March 2011, the EAA was preparing an updated practice circular on promotional activities in relation to the first sale of residential properties for the better regulation of the conduct of estate agents.

推動持續進修　誠信專業並重STRIVING FOR HIGH INTEGRITY AND PROFESSIONAL STANDARDS THROUGH CONTINUING EDUCATION


地產代理在促進香港物業交易方面發揮着重要作用。置業是人生的一項重要投資，因此地產代理應秉持誠信，以專業知識執業，保障客戶利益。多年來，監管局一直致力透過持續專業進修計劃提升行業的技能。

鑑於公眾對地產代理行業的期望不斷提升，持續進修對提升地產代理專業水平非常重要。長遠而言，推行強制性持續專業進修計劃可提升地產代理業的專業化及能力。因此，監管局就持續專業進修計劃從自願性轉為強制性展開了深入討論。另外，為培育地產代理的誠信文化，監管局與廉政公署合作推行為期三年的地產代理誠信管理計劃。

通過消費者教育，可讓公眾懂得保護自身權益，並在物業買賣時作出知情選擇，因此監管局亦十分重視為消費者提供教育。監管局透過各種溝通方式，例如巡迴展覽、刊物及記者會，與公眾分享物業交易相關的實用知識。

持續專業進修計劃

持續專業進修計劃邁向強制性，提升專業水平

為進一步提升地產代理業的專業水平和地位，監管局專業發展委員會已就持續專業進修計劃的未來發展，展開了深入討論。專業發展委員會認為，持續專業進修計劃從自願性轉為強制性，對持牌人及消費者均有利。由於公眾對地產代理從業員應有的專業知識及水平的期望不斷提高，故從業員應持續進修，增強自身能力，為客戶提供優質服務。

為實現這一抱負，專業發展委員會就自願學習模式轉為強制性培訓模式所涉及的事宜進行了深入詳細的討論。考慮的事宜包括強制性持續專業進修計劃的主要特點及學習模式；滿足增加培訓需求的方法；執行強制學分要求的監管機制及未能符合學分要求的後果等。

為確保業界接納強制性計劃，監管局透過定期與地產代理商會舉行的聯絡會議，了解地產代理業對專業發展委員會考慮事項的意見，業界初步作出了積極回應。為制定切合行業需要的強制性持續專業進修計劃，監管局將繼續研究其可行性，收集意見並尋求業界對該建議的支持。

作為教育者：專業發展、公眾教育與對外事務As An eDucAtor: ProfessionAl DeVeloPMent, coMMunity eDucAtion AnD externAl AffAirs

長遠而言，推行強制性持續專業進修計劃能促進地產代理業的健康發展。因此，監管局就持續專業進修計劃從自願性轉為強制性展開了深入討論。 — 專業發展委員會主席劉詩韻女士

71

As An eDucAtor: ProfessionAl DeVeloPMent, coMMunity eDucAtion AnD externAl AffAirs


In Hong Kong, estate agents play an important role in facilitating property transactions. Estate agents should practise with professional knowledge and integrity to protect the interests of their clients, as home purchase is a significant lifetime investment. Over the years, the EAA has strived to enhance competency of the trade through the Continuing Professional Development (CPD) Scheme.

In view of the growing public expectations of the estate agency trade, it is important to provide continuing training to enhance professional standards. The EAA started in-depth discussions on turning the CPD scheme from voluntary to mandatory, which will enhance the trade’s professionalism and competence in the long run. In order to nurture a culture of probity, the EAA joined hands with the Independent Commission Against Corruption (ICAC) to launch a three-year Integrity Management Programme for the estate agency trade.

The EAA also attaches great importance to providing consumer education since it enables the public to protect their interests and make informed choices when buying and selling properties. Through various means of communication, including roving exhibitions, publications and press conferences, the EAA shares with the public useful knowledge related to property transactions.

continuing Professional Development scheme

Making cPD mandatory to raise professional standards

To further raise the professional standards and status of the estate agency trade, the Professional Development Committee (PDC) of the EAA has held in-depth discussions on the future development of the CPD scheme. The PDC was of the view that turning the voluntary CPD scheme into a mandatory one would be beneficial to both licensees and consumers. As public expectations of estate agency practitioners’ professional knowledge and standards continue to grow, practitioners should pursue continued learning so as to enhance their competence and provide quality services to their clients.

With this vision in mind, the PDC conducted intensive deliberations on the issues involved to migrate from a voluntary learning model to a mandatory training model. Issues deliberated included the main features and learning modes of the mandatory CPD scheme; ways to meet the increased training needs; ways to monitor compliance of the mandatory requirement; and consequences of non-compliance etc.

the eAA started in-depth discussions on turning the cPD scheme from voluntary to mandatory, which will promote the healthy development of the trade in the long run.– Ms Serena Lau, Chairman of the Professional Development Committee

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作為教育者：專業發展、公眾教育與對外事務


透過誠信管理計劃培養誠信文化

為加強地產代理從業員的操守水平，監管局與廉政公署合作推行為期三年的誠信管理計劃。

2011年3月2日，監管局主席陳韻雲女士與廉政公署社區關係處處長穆斐文女士主持誠信管理計劃開幕儀式，主題為「誠信公平可創富」。

首年計劃的活動已成功完成，包括製作新的培訓教材及培訓短片；撰寫培訓從業員誠信的新持續專業進修課程；以及研究中小型地產代理的營運以識別其潛在風險領域，從而協助相關地產代理加強其內部控制。

業界熱烈歡迎該計劃，並作出積極回應。監管局接獲700多份索取培訓教材用作內部培訓的申請。此外，多個地產代理及業界商會亦已申請為其員工或商會成員舉辦誠信講座。

持續專業進修活動的統計數字

本年度，監管局及其他培訓機構共舉辦了523場持續專業進修活動，吸引逾34,000人次參加，取得93,654持續專業進修學分。持續專業進修計劃的參與度創下自2005年5月推行以來的新高。活動總場數較往年增加42%，而參與人次及所取得的持續專業進修學分的增幅則分別為35%及38%。

在523場活動中，97場由監管局舉辦，參與人次為16,127人（約佔總參與人次47%），較上年增加21%。

與上年度比較，地產代理業舉辦的持續專業進修活動在場數及參與人次分別錄得42%及54%的增長。2010/11年度，業界商會及地產代理商合共舉辦了368場持續專業進修活動，吸引16,962人次參加。

「地產代理誠信管理計劃」啟動儀式。

Launching ceremony of the Integrity Management Programme for the Estate Agency Trade.

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To ensure receptiveness of the mandatory scheme, the EAA gauged the views of the estate agency trade on PDC’s deliberations through regular liaison meetings held with them and the trade’s initial response was positive. With a view to putting in place a mandatory CPD scheme that meets the needs of the trade, the EAA will continue to study its feasibility, collect feedback and garner the trade’s support for the proposal.

integrity Management Programme to cultivate a culture of probity

To strengthen the ethical standards of estate agency practitioners, the EAA launched a three-year Integrity Management Programme jointly with the ICAC.

On 2 March 2011, Ms Vivien Chan, Chairman of the EAA and Ms Julie Mu, Director of Community Relations of the ICAC, officiated the launching ceremony of the Integrity Management Programme with the theme “It pays to play fair and proper”.

The component activities of the first year were successfully completed, which included the production of a new training kit and a new training video; development of new CPD courses on enhancing integrity; and study of the operation of the small to medium-sized estate agencies to identify possible risk areas so that these agencies could beef up their internal controls.

The trade welcomed the programme and responded positively. The EAA received numerous requests for training kits for internal training and around 700 were distributed. Furthermore, there were a number of requests from the estate agencies and trade associations to conduct integrity seminars for their staff or trade members.

statistics of activities held

During the year, there were 523 sessions of CPD activities organised with around 34,000 enrolments. A total of 93,654 CPD points were attained. The participation level of the CPD scheme has reached a record high since its implementation in May 2005. The total number of sessions increased by 42% compared to the previous year and the number of enrolments and CPD points attained rose by 35% and 38% respectively.

Among the 523 sessions held, 97 were organised by the EAA with an enrolment of 16,127 (about 47% of total enrolments), an increase of 21% over the previous year.

Compared to the previous year estate agency trade’s participation in the CPD scheme also recorded a 42% and 54% increment in the number of sessions and number of enrolments respectively. A total of 368 sessions of CPD activities were organised by either trade associations or estate agencies in 2010/11, attracting 16,962 enrolments.

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監管局持續專業進修活動摘要

為加強地產代理對執業相關課題的理解，以及向他們介紹新政策，監管局舉辦「專題講座系列」，專題涵蓋降低舊樓強制售賣門檻、如何處理附有違例建築工程的物業交易，及村屋買賣注意事項等。2010/11年度，這些講座吸引了約2,000人次參加，佔監管局持續專業進修活動參與人次的12%。

此外，為協助從業員及時掌握物業市場的相關政策，監管局邀請香港金融管理局及香港按揭證券有限公司的代表，分別向從業員講解住宅按揭貸款的審慎監管措施及按揭保險計劃的詳情。

另外，監管局繼續為新持牌人及分行經理舉辦兩個為期24小時的培訓課程。年內，這兩個課程吸引了5,430人次參加（佔監管局舉辦的持續專業進修活動參與人次的34%）。課程內容定期更新，適時將監管局發佈的新執業通告及行業相關案例加入教材。年內，加入相關課程內容的主要執業通告包括關一手住宅樓盤銷售、舊樓收購及違例建築工程的新指引等。

活動數目%

No. of sessions

(1) 核心╱非核心 core/non-core 420 80核心科目 Core subjects 103 20非核心科目 Non-core subjects 55 15

(2) 費用 fees 收費 Fee paying 303 58

免費 Free-of-charge 181 35獲政府資助 Government-subsidised 39 7

(3) 語言 language粵語 Cantonese 406 78雙語（粵語╱英語） Bilingual (Cantonese/English) 6 1英語 English 28 5普通話 Putonghua 83 16

(4) 主辦機構 organiser監管局 EAA 97 19地產代理商 Agency firms 345 66業界商會 Trade Associations 23 4專上╱培訓機構及其他公營機構

Tertiary/training institutions and other public organisations

58 11

(5) 地點 location香港島 Hong Kong Island 197 38九龍 Kowloon 294 56新界 New Territories 26 5網上遙距學習

（例如︰網上個案研習）Web-based distance learning(e.g. e-quiz)

6 1

持續專業進修活動cPD activities

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2008/2009 2009/2010 2010/2011

31,01025,121

34,023

10,000

20,000

15,000

25,000

35,000

30,000

持續專業進修活動的參與人次enrolment in cPD activities

highlights of cPD activities organised by eAA

To enhance estate agents’ general understanding of practice-related issues and to update their knowledge on new policies, the EAA organised talks under the “Special Topic Series”, which covered subjects such as: lowering of the threshold for the compulsory sale of old buildings; handling properties with unauthorized building works; and points to note on transaction of village houses. These talks attracted around 2,000 enrolments (12% of enrolments of the EAA CPD activities) in 2010/11.

Furthermore, in order to help practitioners keep themselves abreast of policies related to the property market, the EAA arranged officials from the Hong Kong Monetary Authority and the Hong Kong Mortgage Corporation Limited to speak on the prudential measures for residential mortgage loans to control the speculation of residential properties in Hong Kong, and the mortgage insurance programme respectively.

監管局在2010/11年度舉辦「專題講座系列」持續專業進修計劃講座

The EAA organised CPD seminars under the “Special Topic Series” in 2010/11.

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公眾教育與對外事務

公眾教育

公眾教育是監管局工作的重要環節。透過向公眾教育物業交易中的常見陷阱，以及地產代理在物業交易過程中應提供的優良服務，消費者可以更好地保障自己，並避免與地產代理發生不愉快的爭拗。知情的消費者能夠有效阻止不良執業手法，從而間接推動業界行事持正。另外，令公眾更了解監管局的工作及其作為公正、有效及負責任的規管者等角色，亦能為監管局有效履行其職責提供更大支持。

監管局於2011年3月在港鐵站舉辦了巡迴展覽，向公眾派發《置業須知》及《訂立租約須知》等刊物，以及印有監管局聯絡方法的紀念筆作為，合共約900名人士前往展覽攤位索取資料。監管局隨後於4月初在另一個港鐵站再次舉辦巡迴展覽。監管局亦繼續出版不同刊物，為從業員提供有用資訊及參考資料，其中包括贏得國際設計大獎Astrid Awards「非牟利機構年報」組別銀獎的2009/10年報。年報是監管局向公眾及持份者更有效及更透明地報告其工作的重要刊物。

自2010年4月以來，監管局每月均為星島日報地產網「黃Sir教路」專欄撰稿，向讀者介紹與地產代理交易時的注意要點。2010/11年度，監管局合共撰寫及發表了12篇文章。

於2010年，《選擇》月刊的4月及6月號亦發表了一些精選個案研究。

監管局於港鐵站舉辦巡迴展覽。

The EAA organised roving exhibitions at MTR stations.

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The EAA continued to run the two 24-hour long structured training courses for new licensees and branch managers. During the year, these two courses attracted 5,430 enrolments (34% of enrolments of the EAA CPD activities). The course contents were constantly updated to include new practice circulars issued by the EAA and cases relevant to the trade. Major circulars issued in the year which were discussed at these courses include the new guidelines on the sale of first-hand residential properties, acquisition of old buildings and unauthorised building works, etc.

community education and external affairs

consumer education

Consumer education is an important part of the EAA’s work. Through educating the public on the general pitfalls in property transactions and the good services estate agents are expected to offer during property transactions, consumers can better protect themselves and avoid unpleasant disputes with estate agents. Well-informed consumers can effectively deter malpractices and indirectly promote integrity and competence of the trade. Moreover, enhancing the public understanding of the EAA’s work and its role as an impartial, effective and responsible regulator will also provide a stronger support for the EAA to effectively carry out its functions. The EAA held roving exhibitions at MTR stations in March 2011. EAA publications including Guide to Purchasing Properties and Notes on Signing a Tenancy Agreement, as well as a souvenir banner pen with EAA’s contact details, were distributed to the public. A total of about 900 people approached the exhibition booth and obtained the materials. Another exhibition was held at another MTR station in early April. The EAA also continued to issue a wide variety of publications to provide practitioners with useful information and points of reference. Amongst them is the Annual Report of 2009/10, which won the international Astrid Awards’ silver medal under the category “Annual Reports - Non-Profit Organisations”. It is an important publication to communicate the EAA’s work more effectively and transparently to the public and stakeholders.

The EAA has been contributing articles to a monthly column titled“黃Sir教路”in the property website of Sing Tao Daily since April 2010 in order to educate readers on the points to note when dealing with estate agents. A total of 12 articles were contributed and published in 2010/11. Selected case studies were also published in the April and June issues of Choice Magazine in 2010.

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網站革新及新熱線系統

監管局於2010/11年度底革新網站，透過這個24小時交流平台，提高公眾認識及向持牌人提供最新消息。網站的設計及導覽均已革新，使網頁更吸引和更方便易用，網站亦上載了更多消費者相關資訊如短片供公眾瀏覽。第二期網頁革新──持牌人電子服務──將於2011年中推出。

2010年7月，我們安裝了一套具有自動分配來電等先進功能的全新熱線電話系統。在回覆公眾查詢的電郵中，我們亦提醒了查詢人就不同查詢可使用的快捷鍵。年內，監管局致力履行服務承諾，透過書面、電郵或電話回覆公眾查詢。

與傳媒關係

傳媒是監管局向公眾傳遞其工作的重要夥伴之一。為了與傳媒保持緊密聯絡，監管局於2011年春季舉辦了傳媒春茗。為增加傳媒報道，監管局於2010/11年度發表多篇新聞稿，並就重大新措施舉行記者會。年內，監管局亦安排印刷及電子傳媒專訪主席、行政總裁及行政部門的其他高層管理人員。

2010/11年度，監管局透過舉辦或參與活動獲得傳媒廣泛報道，當中包括監管局與中國房地產估價師與房地產經紀人學會於2010年11月根據《內地與香港更緊密經貿關係安排》舉行的內地與香港地產代理專業資格互認計劃簽約儀式；監管局與廉政公署於2011年3月合辦的地產代理誠信管理計劃啟動儀式；以及職業訓練局於2011年3月舉辦的「2011中港澳台房地產市場前瞻」研討會，監管局行政總裁亦是是次活動嘉賓講者之一。

年內，監管局發出多篇新聞稿，並舉辦記者會公布新措施。

In the year under review, the EAA issued a number of press releases and held press conferences to introduce its new initiatives.

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Website revamp and new hotline system

The revamped EAA website launched at the end of 2010/11 is a highly accessible and round-the-clock communication platform for the EAA to enhance public awareness and keep licensees abreast of latest news. Layout and navigation were revamped so as to make the website more attractive and user-friendly. More consumer-related information such as a short video clip was posted online for public viewing. Phase two of the revamp - e-services for licensees - will be launched in mid 2011. The new enquiry hotline system with advanced features including Automatic Call Distribution was installed in July 2010. In email replies to public enquiries, enquirers were also reminded of the shortcut keys when calling the hotline for different queries. During the year, the EAA strived to reply to public enquiries (via written, email or telephone) within our performance pledges.

Media relations

The media is one of the important partners in communicating EAA’s work to the public. To maintain close contact with the media, Chinese New Year gatherings with journalists were held in spring 2011. To maximise media coverage, in 2010/11, the EAA issued a number of press releases and held press conferences on major new initiatives. Feature interviews with the Chairman, the CEO and other senior management of the Administration with print and electronic media were also sought/entertained throughout the year.

In 2010/11, the EAA also gained wide media exposure from a number of events or functions that the EAA organised or participated in. They included the signing ceremony for the agreement between the EAA and the China Institute of Real Estate Appraisers and Agents on the scheme of mutual recognition of professional qualifications of estate agents in the Mainland and Hong Kong under CEPA held in November 2010; the launching ceremony of the Integrity Management Programme for estate agency trade the EAA co-hosted with the ICAC in March 2011; and the conference entitled “2011 Real Estate Industry Outlook of the Mainland, Hong Kong, Macau and Taiwan Market Conference” organised by the Vocational Training Council in March 2011, in which the CEO of the EAA was one of the guest speakers.

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業界聯繫

為與業界商會及持牌人維持定期有效的雙向溝通，監管局除定期與業界舉行會議外，亦參加由不同業界商會及地產代理公司舉辦的各種活動。業界商會透過這些會議和活動了解監管局的舉措和新指引，並且就重要議題交流意見。監管局和業界商會亦保持密切互訪。

2010/11年度，監管局與主要業界商會代表共舉行四次季度業界聯絡會議。商會代表透過會議了解監管局的新舉措，並討論共同關注的事宜。在2010年12月舉行的一次會議上，監管局邀請運輸及房屋局和稅務局代表參加會議，並向業界講解額外印花稅的詳情。2010年5月，監管局亦與13間地產代理公司舉辦有關收購舊樓的論壇。

2010/11年度，監管局出版了三期《專業天地》通訊。通訊讓持牌人知悉監管局的最新規管措施和動態。公眾亦可透過監管局網站瀏覽通訊。

專業交流

監管局與各持份者、法定和專業機構合作並保持密切聯絡，包括立法會、運輸及房屋局、發展局、保安局禁毒處、警務處、廉政公署、消費者委員會、香港測量師學會及職業訓練局等。監管局於2011年1月亦出席立法會房屋事務委員會會議，就立法會議員關注的「The Icon」事件作出回應。

年內，監管局亦與世界各地政府及專業機構進行交流。行政部門接待來自新加坡、越南、澳門及內地多個城市的代表團，並在訪問期間交流意見及分享經驗。

澳門房屋局代表團到訪監管局。

Visit from the Macau Housing Bureau delegation.

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liaison with trade

In order to sustain a regular, two-way and effective communication with trade associations and licensees, the EAA not only held regular meetings with the trade, but also attended a variety of functions organised by different trade associations and estate agencies. At these meetings and functions, trade associations were informed of EAA’s initiatives and new guidelines and views on major issues were exchanged. Cordial visits between the EAA and trade associations were also maintained.

In 2010/11, the EAA held a total of four quarterly trade liaison meetings with the representatives of major trade associations. At these meetings, the trade representatives were informed of EAA’s new initiatives and issues of mutual concern were discussed. In one of the meetings held in December 2010, the EAA invited representatives from the Transport and Housing Bureau and the Inland Revenue Department to attend and provide a briefing to the trade on the details of the proposed Special Stamp Duty. In May 2010, the EAA also organised a forum on buying up old buildings with 13 estate agency companies.

Three issues of the EAA’s newsletter for licensees, Horizons, were published in 2010/11. The newsletter kept the licensees informed of the EAA’s new regulatory measures and latest activities. Members of the public could also read the newsletter through the EAA’s website.

Professional exchanges

The EAA worked with and maintained close liaisons with various stakeholders, statutory and professional bodies, such as the Legislative Council, Transport and Housing Bureau, Development Bureau, Narcotics Division of the Security Bureau, Police, Independent Commission Against Corruption, Consumer Council, Hong Kong Institute of Surveyors and Vocational Training Council. The EAA also attended the Legislative Council Panel on Housing to address legislators’ concerns on the “The Icon” case in January 2011.

During the year, the EAA also had exchanges with different government/professional counterparts around the world. The Administration received delegations from Singapore, Vietnam, Macau and different cities from the Mainland. Views and experiences were exchanged and shared during these meetings.

積極教育傳播實用知識INSTILLING kNOWLEDGE THROUGH REACHING OUT

優秀團隊　良好規畫EXCELLENT TEAMWORk TO ACHIEVE CORPORATE VISION


財務

2010/11年度，監管局審計報告出現12.8百萬元盈餘（2009/10年度的赤字為20.3百萬元）。本年仍有牌費寬免計劃2.7百萬元入帳，此特殊項目減少了本年度審計報告內之牌費收入及年度盈餘。

扣除牌費寬免計劃對年度帳目之影響，監管局於本年度的實質牌費收入應為61.96百萬元，較上年度增加11.28百萬元或22.3 %，實質盈餘應為15.5百萬元。收入增加之原因為牌照數目持續上升而令牌費收入增加，及考試費收入亦增加4.01百萬元，利息收入與去年相若。

本年度監管局之總開支為57.58百萬元，較上年度增加7.26百萬元或14.4%。監管局在公眾教育開支，辦公室租金、印刷及文具，宣傳及廣告，員工薪金及考試服務費方面的開支方面均有所增加。至於設備折舊、器材維修保養及及保險則較上年度減少。

行政

監管局的行政部門由行政總裁領導。截至2011年3月31日，監管局的職員編制有86名員工（而於截至2010年3月31日，則為82人）。殘疾僱員佔整體僱員數目1.3%。2010/11年度的員工流失率是21%。

2010年，監管局實施一套以核心才能績效管理系統。按員工的工作表現調整每年薪酬，以鼓勵員工有良好的工作表現及培養表現為本的文化。

為加強高級管理層與前線員工之間的溝通，監管局成立一個由不同級別員工代表組成的員工委員會，為員工提供一個平台，以便他們向高級管理層表達個人觀點及有關監管局行政各方面的意見。監管局也每季舉辦行政總裁論壇，向員工解釋主要政策及措施，並與員工交流意見。

為持續提升員工能力及建立融洽的團隊，監管局在年內舉辦各種員工培訓活動，包括軟性技巧培訓和建立團隊工作坊。

監管局財務、員工與行政eAA finAnce, stAff AnD ADMinistrAtion

監管局管理行政團隊Cheers! EAA managerial and executive team

85

eAA finAnce, stAff AnD ADMinistrAtion


finance

For the year under review, the EAA reported a surplus of $12.8 million (as compared to a deficit of $20.3 million last year). We had booked the balance of the licence fee concession of $2.7 million against the licence fee income for the year, resulting in a reduction of both the fee income and surplus reported in the audit accounts.

Without the licence fee concession, the fee income should be $61.96 million, an increase of $11.28 million or 22.3% over the previous year, and yearly surplus should be $15.5 million. The increase was partly due to the continuous increase in the number of licensees and partly due to the increase in examination fee income, which recorded a growth of $4.01 million. The interest income was similar to that of last year.

Expenditure for the year was $57.58 million, an increase of $7.26 million or 14.4% over last year. Items that saw major increases in expenditure were community education, operating lease rental, printing and stationery, publicity and advertising, staff costs, service fees for examinations and training activity. Items that saw major decreases in expenditure were depreciation, equipment maintenance and insurance.

Administration

The EAA Administration is headed by the Chief Executive Officer. As at 31 March 2011, the staff establishment was 86 (as compared with 82 as at 31 March 2010). The percentage of employees with disabilities was 1.3%. The staff turnover rate for 2010/11 was 21%.The EAA implemented a new competency-based performance management system in 2010. Annual pay adjustment is linked to individual staff’s performance to encourage high performance and build a performance-driven culture.

To strengthen communication between senior management and frontline staff, a Staff Committee with representatives from different ranks was formed to provide a platform for them to air their views and relay feedback on various aspects of the operations of the organisation to senior management. Quarterly CEO’s Forums were held to explain and exchange views on major policies and measures for staff.

To continue to build staff capability and a cohesive team, various staff training programmes, including soft skills training and a Team Building Workshop, were organised in the year.

大家舉手 ! 我們鸁了 !Hands Up! Victory!

86

監管局財務、員工與行政


監管局行政部門組織架構圖organisation chart of the eAA Administration

執行總監Director ofOperations

投訴部Complaints

執行部Enforcement

調查部Investigation

規管及法律總監Director of

Regulatory Affairs &General Counsel

法律事務及考試部Legal Services &

Examination

紀律研訊部DisciplinaryProceedings

牌照部Licensing

服務總監Director ofServices

專業發展部ProfessionalDevelopment

機構傳訊部╱監管局秘書處

CorporateCommunications/Board Secretariat

人力資源及行政部Human Resources &

Administration

財務及資訊科技部Finance &InformationTechnology

行政總裁Chief Executive Officer

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總監級以下的編制non-directorate staff establishment

行政總裁和總監 8 的薪酬remuneration of chief executive officer and Directors1 during the year

人數 / Number of individuals

$500,001元至$1,000,000元 0$1,000,001元至$1,500,000元 0

$1,500,001元至$2,000,000元 3

$2,000,001元至2,500,000元 1

合計 4

職級 rank

總經理 Chief Manager 1高級經理╱法律顧問 Senior Manager/Legal Counsel 1

經理 Manager 9

助理經理 Assistant Manager 11高級主任 Senior Officer 9

主任 Officer 13

行政助理 Administrative Assistsant 8

高級文員 Senior Clerk 16

文員 Clerk 14

8 監管局共有三位總監級員工 9 包括約滿酬金和按表現發放的薪金（如適用）

本年度支付予行政總裁和總監的薪酬 9 如下：

The total remuneration2 of the Chief Executive Officer and directors during the year was as follows:

$500,001 to $1,000,000

$1,000,001 to $1,500,000

$1,500,001 to $2,000,000

$2,000,001 to 2,500,000

total

88

監管局財務、員工與行政


企業社會責任

監管局努力履行企業社會責任，其中包括為本港大學的暑期實習生及勞工處「展翅計劃」的學員提供實習機會，讓他們接觸實際工作環境，並發展他們與他人溝通及合作的軟技能。我們透過年度員工活動（例如員工賣物會）向慈善機構捐贈現金和物品。為保護環境，我們也向慈善機構捐贈陳舊辦公傢俬和設備（例如個人電腦及打印機）以供循環再用。吸引了5,430人次參加（佔監管局舉辦的持續專業進修活動參與人次的34%）。課程內容定期更新，適時將監管局發佈的新執業通告及行業相關案例加入教材。年內，加入相關課程內容的主要執業通告包括關一手住宅樓盤銷售、舊樓收購及違例建築工程的新指引等。

資訊科技保安政策和操作指引

由於大眾愈來愈關注資訊保安，監管局發出資訊科技保安的指引，供員工參考和跟從。指引訂明了不同職級員工在保護資訊方面的責任。於2010/2011年監管局訂下了一系列操作指引，讓員工了解使用電腦系統和設備的須知事項。

監管局各部門已委任一位資訊科技保安主任，以監督各部門員工跟從資訊保安指引的情況。

監管局為了有效控制員工使用機密資料的情況，已採用一套權限管理系統，控制員工使用和傳送（包括內部和外部）機密的電腦檔案。

89



corporate social responsibility

As part of our efforts to fulfil our corporate social responsibility, the EAA provided placements for summer interns from local universities and trainees of the Youth Pre-employment Training Programme organised by the Labour Department, to enable them to gain exposure to an actual workplace and develop their soft skills in communicating and collaborating with others. Contributions, in money and in kind, were made to charitable agencies through our annual staff activities, such as the staff bazaar. To protect the environment, we further donated obsolete office furniture and equipment (e.g. PCs and printers) to charitable organisations for recycling.

baseline it security Policy and operational guidelines

In view of public concern on information security, the EAA drew up and issued a set of guidelines entitled Baseline IT Security Policy for staff, which delineates the roles and responsibilities of staff at different levels. In 2010/11, the EAA developed for its staff a set of operational guidelines on information security, which lay down the points to note when using information technology systems and facilities.

In order to ensure staff compliance with the information security guidelines, each section of the EAA appointed a Sectional Information Technology Security Officer to monitor the compliance of information security regulations by staff.

嚴謹機構管治　提昇公眾信心STRINGENT CORPORATE GOVERNANCE TO SUSTAIN PUBLIC TRUST


監管局一直致力維持良好的機構管治，並維持高公信力和透明度，以及體現問責精神，從而加強公眾對監管局的信心。

監管局董事局及行政架構

董事局是監管局的最高決策組織，負責制定所有主要政策，包括工作計劃和預算案。董事局亦負責引導和監察監管局行政部門的工作和表現。監管局所有董事局成員由香港特別行政區行政長官委任，設有正、副主席各一名及普通成員十八名。成員來自社會上不同界別，包括地產代理行業和運輸及房屋局。他們於2010年11月1日獲委任或再委任，任期兩年。

董事局可不時就處理特別事宜，成立其他專責小組，亦可委任非監管局成員的其他人士（即董事局委任成員），參與委員會、專責小組或工作小組的工作。

為確保高效履行監管局的職責並精簡董事局的委員會架構，董事局於2010年8月檢視各個委員會、專責小組和工作小組的運作，並於2010年11月將其重組為五個常設委員會和一個專責小組，以處理監管局不同範疇的工作。本年度委員會和專責小組的職權範圍和成員名單載於附錄一。

2010/11年度，董事局、常設委員會和專責小組會議的舉行次數和成員的出席率如下：

機構管治corPorAte goVernAnce

董事局會議2010年4月1日至 2010年10月31日

2010年11月1日至 2011年3月31日

會議數目 2 2平均出席率 90% 97.5%審議的文件數目 39 33

93

corPorAte goVernAnce


The EAA is committed to maintaining high standards of corporate governance and strives to uphold a high level of accountability, credibility and transparency, which in turn fosters public confidence in the EAA.

eAA board and Administration

The EAA Board is the highest decision-making authority. It sets all major strategies and policies, including the work plan and budget, and guides and monitors the performance and activities of the Administration. All Board Members are appointed by the Chief Executive of the HKSAR. The Board consists of a Chairman, Vice-Chairman, and 18 ordinary members from various sectors of the community, including the estate agency sector and the Transport and Housing Bureau. They were appointed/reappointed for a term of two years with effect from 1 November 2010.The Board may from time to time set up other working parties or groups to deal with specific issues and may appoint to the committees, panels or working groups, other persons (Board-appointed Members) who are not members of the EAA Board.

To ensure an efficient and effective discharge of EAA’s functions and to streamline the committee structure of the Board, in August 2010, the Board reviewed the operation of the various committees, panels and working groups and reorganised them into five standing committees and one panel to oversee the various aspects of the EAA work with effect from November 2010. The terms of reference and memberships of the committees and panels during the year are at Annex 1.

In the year 2010/11, the number of meetings and the average attendance rate of the meetings of the Board, standing committees and working panels were as follows:

the eAA board meetingsfrom 1 April 2010 to

31 october 2010from 1 november 2010 to

31 March 2011

Number of meetings held 2 2Average attendance rate 90% 97.5%

Number of Papers considered 39 33

94

機構管治


董事局會議會議數目董事局成員平均出席率審議的文件數目

財務及策略發展委員會 1 90% 11紀律委員會 1 89% 6牌照委員會 3 81% 4執業及考試委員會 2 89% 10專業發展委員會 1 80% 7第28條調查小組 0 0 0

常設委員會及專責小組

2010年4月1日至2010年10月31日

2010年11月1 日至2011年3月31日

監管局實施兩層的申報利益制度，維持公眾對於監管局董事局成員的誠信，以及他們提交意見的公正性的信心。監管局董事局成員及委任成員獲委任後，除須透過訂明表格向監管局申報其利益，並每年更新資料外，他們亦須於監管局所有會議上，申報涉及監管局審議的任何主題或事宜的利益，以及任何與監管局事務有利益衝突或潛在利益衝突的事件的詳情。公眾可要求查閱紀錄董事局成員及委任成員有關利益申報詳情的登記冊。2010/11年度，監管局就須透過訂明表格申報的事宜進行檢討，研究及衡量多間其他機構採用的類似制度。監管局董事局經過會議研究後，制定出並採用經改進的利益申報表格。

在有關土地和物業權益方面，監管局的所有成員均須申報其在香港或海外的任何實益權益。須登記的權益包括：成員名下所持有、透過其他公司或個人間接持有、或其有權處置、或能從中獲得任何金錢利益的土地或物業。監管局行政部門的管理職級人員也須遵循類似的規定申報利益。

董事局會議會議數目董事局成員平均出席率審議的文件數目

財務及策略發展委員會 2 85% 11紀律委員會 2 75% 11牌照及執業委員會 3 81% 10專業發展委員會 3 74% 13第28條調查委員會 0 0 0考試小組 1 78% 4

95



To maintain public confidence in the integrity of Board Members and the impartiality of their advice, the EAA adopts a two-tier reporting system. Board Members and Board-appointed Members are required not only to register their interests with the EAA, through declaring their interests in a prescribed form upon their appointment to membership and annually thereafter, but also to declare their interests at all EAA meetings in any subject/matter under consideration by the EAA, and any conflict of interest or any potential conflict of interest they may have with the affairs of the EAA. The register of Members’ and Board-appointed Members’ interests is available for public inspection upon request. The EAA conducted a review on the matters to be declared in the prescribed form in 2010/11. The review studied and considered similar systems used by a number of other organisations. After deliberations at meetings, an improved prescribed form for declaring interests was developed and adopted by the EAA Board.

standing committees and Panelnumber of

meetings held

Average attendance rate of

board Members

number of papers

considered

Finance and Strategic Development Committee 1 90% 11

Disciplinary Committee 1 89% 6Licensing Committee 3 81% 4Practice and Examination Committee 2 89% 10Professional Development Committee 1 80% 7Section 28 Investigation Panel 0 0 0

standing committees and Panel

From 1 April 2010 to 31 October 2010

From 1 November 2010 to 31 March 2011

standing committees and Panelnumber of

meetings held

Average attendance rate of

board Members

number of papers

considered

Finance and Strategic Development Committee

2 85% 11

Disciplinary Committee 2 75% 11Licensing and Practice Committee 3 81% 10Professional Development Committee 3 74% 13Section 28 Investigation Committee 0 0 0Examination Panel 1 78% 4

96

機構管治


問責性及透明度

董事局為監管局制定了一套機構授權指引，加強問責。有關指引訂明董事局授權予常設委員會、工作小組、專責小組和監管局行政部門的職權範圍，確保監管局具備完善的制衡措施。監管局亦設有對公眾的服務承諾制度，並定期檢討服務是否達標。2010/11年度服務承諾及達標詳情載於附錄二。

隨着香港特別行政區行政長官於2009年10月頒佈《2009年申訴專員條例（修訂附表1）令》，監管局已被納入申訴專員的職權範圍。監管局自2010年7月2日被納入申訴專員的監管範圍以來，共接獲兩宗轉介個案，經研究及解釋後，分別於2010年9月28日及2010年10月25日結束，均無須採取進一步行動。

為提高工作的透明度，監管局每年向運輸及房屋局局長提交一份年報，並提呈立法會省覽。監管局通過傳媒、監管局刊物及網站等不同渠道，向公眾發放有關監管局的資訊，加強公眾對監管局工作的認識。此外，監管局亦會就其規管工作及公眾關心的議題，定期舉行新聞發佈會和發出新聞稿，讓公眾清楚了解監管局的措施。

在《防止賄賂條例》下，所有監管局董事局成員及員工均被視為「公職人員」。

制衡措施

為了方便公眾取得有關監管局及其服務的資料，監管局除了會按慣例公佈資料外，也會根據《公開資料守則》，處理公眾向監管局索取資料的要求。

根據《地產代理條例》，任何人士可透過書面方式通知運輸及房屋局局長，對監管局的決定提出上訴，包括監管局拒絕批給牌照或批出續牌申請的決定，或監管局施行的紀律處分。運輸及房屋局局長須委任一小組人士組成委員團，專責聆訊上訴。委員團的主席須就每宗上訴個案，從委員團成員中委任成員組成審裁小組進行裁決。

97



Regarding interests in land and property, all members of the EAA are required to declare any beneficial interests either in Hong Kong or overseas. Registrable interest includes land or property owned by a Member in his/her own name, or held indirectly through another company or person. It also includes land or property which a Member has a right over its disposition or has any pecuniary interest deriving from it. All managerial officers of the EAA Administration also adopt a similar requirement in declaring their interests.

Accountability and transparency

To reinforce the culture of accountability, a Corporate Authorisation Manual for the EAA was also formulated by the Board, specifying in detail the Board’s delegation of authority to its standing committees, working groups, panels and the EAA Administration, to ensure that a comprehensive framework of checks and balances is in place. The EAA also has a set of performance pledges for its services to the public and the level of attainment of the pledges is reviewed regularly. Details of the pledges and the attainment level in 2010/11 are at Annex 2.

The EAA has come under the jurisdiction of The Ombudsman with The Ombudsman Ordinance (Amendment of Schedule 1) Order 2009 as ordered by the Chief Executive of the HKSAR Government taking effect in October 2009. Since the EAA came under the jurisdiction of The Ombudsman on 2 July 2010, two inquiries were received. They were subsequently closed on 28 September and 25 October 2010 respectively with no further action.

To increase the transparency of the EAA’s work, the EAA provides the Secretary for Transport and Housing an annual report, which is also tabled at the Legislative Council. Members of the public are kept abreast of the EAA’s regulatory affairs through various channels, such as the mass media, EAA publications and website. Moreover, the EAA regularly organises press briefings and issues press releases on matters related to its work and of public interest. This enables the community to have a good understanding of the EAA’s initiatives.

All Board Members and employees of the EAA are considered “public servants” for the purpose of the Prevention of Bribery Ordinance.

checks and balances

To facilitate the public to access information about the EAA and the services it provides, information is made available to the public routinely and requests for access to information are dealt with in accordance with the Code on Access to Information.

Under the Estate Agents Ordinance, any person may appeal against the EAA’s decisions concerning refusal to grant or renew a licence, or its disciplinary sanctions by writing to the Secretary for Transport and Housing. The Secretary for Transport and Housing is required to appoint a panel of persons for the purpose of hearing such appeals. The appeals are determined by a tribunal, the members of which are appointed by the Chairman of the panel from members of the panel.


職權範圍和成員名單

A. 財務及策略發展委員會

1. 研究具有長遠性影響的策略性議題以備提交監管局董事局審議。

2. 審核重要的財政議題 ─ 特別是員工開支對監管局財政狀況的影響、預算事項、長遠的財政規劃和資產管理，並將建議提交監管局董事局審議。

3. 監督人力資源管理事宜，並審視及批核編制架構和重組安排、人力規劃，以及人力資源政策和程序的制訂。

4. 研究重要的人力資源管理議題 ─ 尤其薪酬架構、薪酬和津貼政策，以及監管局員工（包括行政總裁和總監）的聘用條款和條件，並將建議提交監管局董事局審議。

5. 根據監管局主席的指示，審視及檢討行政總裁和總監的工作表現，以確定是否聘用、延長試用期、晉升、解僱、終止或繼續聘用，或其他與聘用相關事宜，以及確定是否批出按表現發放的獎賞，並將建議提交監管局董事局審議。

6. 審視及批署由監管局行政部門所預備的年度工作計劃和預算案，並於確認後提交監管局董事局審議。

terms of reference and membership

A. finance and strategic Development committee

1. To consider strategic issues of long-term significance, in preparation for consideration by the Board.

2. To examine issues of major financial significance, in particular, staff cost implications, budgetary matters, long-term financial planning and asset management, and to make recommendations to the Board for consideration.

3. To ove r see human resou rces managemen t and to review and approve establishment structure, r eo rgan i sa t i on , manpowe r p l ann i ng and development of human resources policies and procedures.

4. To examine issues of major significance in human resources management, in particular, the pay structure, remuneration and allowance policies and terms and conditions of employment of the EAA employees (including the Chief Executive Officer and Directors), and to make recommendations to the Board for consideration.

5. At the direct ion of the Chairman, to review and evaluate the performance of the Chief Executive Officer and Directors for the purpose of confirmation of appointment, extension of probation, promotion, dismissal, termination or renewal of employment or other employment related issues and the granting of any performance-linked awards, and to make recommendations to the Board for consideration.

6. To review and endorse the annual work plan and budget prepared by the Administration and to recommend the same to the Board for consideration.

附錄一常設委員會Annex 1 stAnDing coMMittees

99Estate Agents Authority．Annual Report 2010/11

7. 就監管局資金的投資事宜制定指引並向監管局董事局提交建議。

8. 留意業界及公眾人士對監管局的規例及策的反應，並據此向監管局董事局及╱或有關委員會建議適當對策。

9. 執行由監管局董事局授權處理的工作。

10. 如認為需要，就委員會行使其職能和權力獲取法律及╱或專業意見或服務。

7. To devise guidelines for and make recommendations to the Board on the investment of the EAA monies.

8. To monitor trade and community response to the EAA regulations and policies and, on such basis, recommend appropriate actions to the Board and/or the standing committees for consideration.

9. To perform such other tasks as the Board may from time to time delegate.

10. To obtain legal and/or expert advice or service relating to the exercise of the Committee’s functions and powers as and when the Committee considers necessary.

成員 2010年11月1日至2011年3月31日

MembershipFrom 1 November 2010 to 31 March 2011:

主席：陳韻雲女士，BBS，JP Chairman: Ms Vivien Chan, BBS, JP

成員：梁永祥先生，BBS，JP 鍾詠雪女士劉詩韻女士劉燕卿女士李國麟議員，SBS，JP 廖玉玲女士呂耀華先生馬豪輝先生，SBS，JP 運輸及房屋局常任秘書長（房屋）或其代表

Members: Mr William Leung Wing-cheung, BBS, JP Ms Cynthia Chung Wing-suet Ms Serena Lau Sze-wan Miss Connie Lau Yin-hing Dr The Hon Joseph Lee Kok-long, SBS, JP Ms Elaine Liu Yuk-ling Mr Alexander Lui Yiu-wah Mr Ma Ho-fai, SBS, JP Permanent Secretary for Transport & Housing (Housing) or his representative

成員 2010年4月1日至2010年10月31日

MembershipFrom 1 April 2010 to 31 October 2010

主席：陳韻雲女士，BBS，JP Chairman: Ms Vivien Chan, BBS, JP

成員：廖譚婉瓊女士，JP 劉燕卿女士李峻銘先生梁永祥先生，BBS，JP 呂耀華先生馬豪輝先生，SBS，JP 孫寶源先生黃建業先生運輸及房屋局常任秘書長（房屋）或其代表

Members: Ms Amy Liu Tam Yuen-king, JP Miss Connie Lau Yin-hing Mr Eric Lee Chun-ming Mr William Leung Wing-cheung, BBS, JP Mr Alexander Lui Yiu-wah Mr Ma Ho-fai, SBS, JP Mr Richard Sun Po-yuen Mr Wong Kin-yip Permanent Secretary for Transport & Housing (Housing) or his representative

附錄一常設委員會


b. 紀律委員會

1. 訂立指引和程序，確保以公平及貫徹一致的立場，處理紀律個案。

2. 接受、考慮和查究由監管局轉介至紀律委員會，根據《地產代理條例》第29(1)條所作的投訴及《地產代理條例》第29(2)條由行政總裁作出的呈述，並在考慮該等投訴和呈述後，進行其認為合適的研訊。

3. 接受及查究涉及持牌地產代理或營業員的投訴，是否抵觸監管局不時向業界發出的《操守守則》、執業通告或指引。

4. 審閱監管局根據《地產代理條例》第28條委任的調查員提交的報告及建議（經由第28條調查小組轉介），考慮就涉嫌和指稱觸犯或沒有遵守《地產代理條例》條文的個案，進行其認為合適的研訊。

5. 按照《地產代理條例》第30條賦予之紀律制裁權，行使其認為適當的權力。

6. 在牌照上附加委員會認為適當的條件。

7. 視乎情況將委員會審議的不良執業手法或投訴個案轉交其他委員會，以便制訂及╱或修訂政策、常規或規例，從而更有效地執行監管局之職能。

b. Disciplinary committee

1. To draw up guidelines and procedures to ensure consistency and fairness in handling disciplinary cases.

2. To receive, consider and inquire into complaints as mentioned in section 29(1) of the Estate Agents Ordinance (EAO) and submissions by the Chief Executive Officer as mentioned in section 29(2) of the EAO that are referred by the EAA to the Committee, and to conduct such inquiry as the Committee may think fit after having considered such complaints and submissions.

3. To receive and inquire into complaints lodged against licensed estate agents or salespersons for breaches of the Code of Ethics, practice circulars or guidelines issued to the trade from time to time by the EAA.

4. To consider the reports and recommendations of the investigator appointed by the EAA under section 28 of the EAO, with referral by the Section 28 Investigation Panel, to look into suspected and alleged breaches or non-compliance of the provisions of the EAO and to conduct such inquiry as the Committee may think fit after having considered such reports and recommendations.

5. To exercise any of the disciplinary powers provided under section 30 of the EAO as the Committee considers appropriate.

6. To attach to l icences such condit ions as the Committee may consider appropriate.

7. To refer from time to time cases of malpractice or complaints considered by the Committee to other committees for formulation and/or revision of policies, practice or regulations for better discharge of the EAA’s functions.

Annex 1 stAnDing coMMittees


8. 如認為需要，就委員會行使其職能和權力獲取法律及╱或專業意見或服務。7.就監管局資金的投資事宜制定指引並向監管局董事局提交建議。


成員 2010年4月1日至2010年10月31日

MembershipFrom 1 April 2010 to 31 October 2010

主席：馬豪輝先生，SBS，JP Chairman: Mr Ma Ho-fai, SBS, JP

成員：陳友正博士黃嘉純先生，JP劉詩韻女士李峻銘先生李景亮先生呂耀華先生伍景華先生孫寶源先生

Members: Dr Bob Chan Yau-chingMr Lester Garson Huang, JPMs Serena Lau Sze-wanMr Eric Lee Chun-mingMr Lee King-leongMr Alexander Lui Yiu-wahMr Ng King-wahMr Richard Sun Po-yuen

委任成員：朱樂生先生郭榮鏗先生梁家駒先生梁繼昌先生廖志明先生謝順禮先生王羅桂華女士黃燦光先生，OBE，QPM，CPM

Board -appointedMembers:

Mr Antonio Chu Lok-sangMr Dennis Kwok Wing-hangMr Johnny Leung Ka-kuiMr Kenneth Leung Kai-cheongMr Liu Chi-mingMr Calvin Tse Shun-laiMrs Karen Wong Law Kwai-wahMr Wong Tsan-kwong, OBE, QPM, CPM

成員 2010年11月1日至2011年3月31日

MembershipFrom 1 November 2010 to 31 March 2011

主席：馬豪輝先生，SBS，JP Chairman: Mr Ma Ho-fai, SBS, JP

成員：陳超國先生鍾詠雪女士林詩棋先生劉振江先生劉詩韻女士李景亮先生劉哲寧先生呂耀華先生伍景華先生

Members: Mr Chan Chiu-kwokMs Cynthia Chung Wing-suetMr Kevin Lam Sze-cayMr Lau Chun-kongMs Serena Lau Sze-wanMr Lee King-leongMr Liu Che-ningMr Alexander Lui Yiu-wahMr Ng King-wah

委任成員：周富祥先生，PDSM朱樂生先生何世文先生林文娟女士梁家駒先生廖志明先生謝順禮先生王羅桂華女士黃燦光先生，OBE，QPM，CPM


Mr Sidney Chau Foo-cheong, PDSMMr Antonio Chu Lok-sangMr Simon HoMs Phyllis M.K. LamMr Johnny Leung Ka-kuiMr Liu Chi-mingMr Calvin Tse Shun-laiMrs Karen Wong Law Kwai-wahMr Wong Tsan-kwong, OBE, QPM, CPM



c. 牌照委員會（2010年11月1日至2011年3月31日）

1. 研究及建議地產代理及營業員之發牌規定。

2. 研究及建議豁免某類人士發牌規定的準則。

3. 指示監管局行政部門處理牌照╱營業詳情說明書的申請，並向符合發牌條件的申請人發出或續發有關牌照╱營業詳情說明書。

4. 審閱提交予委員會之牌照╱營業詳情說明書申請，若認為適當，可批准或拒絕申請。

5. 行使及執行《地產代理條例》第17、23、24、25及27條及《地產代理（發牌）規例》第9條訂明監管局的任何職能和權力。

c. licensing committee (from 1 november 2010 to 31 March 2011)

1. To consider and recommend licensing requirements for estate agents and salespersons.

2. To consider and recommend the cri ter ia for exemption from the licensing requirements for any particular class of persons.

3. To instruct the EAA Administration to process applications for licences / statements of particulars of business (SPOBs) and to grant or renew such licences / SPOBs to applicants meeting the licensing requirements.

4. To consider and if thought appropriate, to approve or refuse applications for licences / SPOBs brought before the Committee.

5. To exercise and perform any and such of the EAA’s functions and powers under sections 17, 23, 24, 25 and 27 of the Estate Agents Ordinance and section 9 of the Estate Agents (Licensing) Regulation.



成員 Membership

主席：廖玉玲女士 Chairman: Ms Elaine Liu Yuk-ling

成員：洪小蓮女士郭昶先生李景亮先生李國麟議員，SBS，JP梁繼昌先生吳麗莎女士

Members: Ms Katherine Hung Siu-lin Mr Anthony Kwok ChongMr Lee King-leongDr The Hon Joseph Lee Kok-long, SBS, JPMr Kenneth Leung Kai-cheongMiss Melissa Wu

委任成員：譚秀娥女士（消費者委員會）余家旗先生


Miss Vera Tam Sau-ngor (Consumer Council)Mr Alex Yu Ka-ki

6. 制定有關發牌事項的政策。

7. 檢討及建議牌照費用及監管局各類服務之收費幅度。

8. 研究及設計與發牌事項有關的表格及文件。


6. To set policies relating to licensing matters.

7. To review and make recommendation on the scale of licence fees and charges for services provided by the EAA.

8. To consider and design the relevant forms and related documents pertaining to licensing matters.




D. 牌照及執業委員會（2010年4月1日至2010年10月31日）

1. 制訂地產代理╱營業員之發牌規定。

2. 研究及建議豁免某類人士發牌規定的準則。

3. 指示監管局行政部門處理牌照╱營業詳情說明書的申請，並發出有關牌照╱營業詳情說明書予符合發牌條件的申請人。

4. 審閱提交予委員會考慮之牌照╱營業詳情說明書申請，若認為適當，可批准或拒絕申請。

5. 在牌照上附加委員會認為適當之條件。

6. 檢討及建議牌照費用及監管局各類服務之收費幅度。

7. 研究及設計申請表格、牌照表格、牌照登記冊、通知表格及其他相關文件。

8. 制訂操守守則，規管地產代理行業的操守及執業方式。

D. licensing and Practice committee (from 1 April 2010 to 31 october 2010)

1. To prescribe licensing requirements for estate agents / salespersons.

2. To consider and recommend the cri ter ia for exemption from the licensing requirements for any particular class of persons.

3. To instruct the EAA Administration to process applications for licences/statements of particulars of business (SPOBs) and to grant such licences/SPOBs to applicants meeting the licensing requirements.

4. To consider and if thought appropriate, to approve or refuse applications for licences/SPOBs brought before the Committee for consideration.

5. To attach to l icences such condit ions as the Committee may consider appropriate.

6. To review and make recommendation on the scale of licence fees and charges for services provided by the EAA.

7. To consider and design the application forms, licence forms, licence register, notice forms and other related documents.

8. To draw up a code of ethics governing the conduct and practice of the estate agency trade.



成員 Membership

主席：梁永祥先生，BBS，JP Chairman: Mr William Leung Wing-cheung, BBS, JP

副主席劉燕卿女士 Vice - chairman

Miss Connie Lau Yin-hing

成員：洪小蓮女士郭昶先生李景亮先生李國麟議員，SBS，JP運輸及房屋局常任秘書長（房屋）或其代表

Members: Ms Katherine Hung Siu-linMr Anthony Kwok ChongMr Lee King-leongDr The Hon Joseph Lee Kok-long, SBS, JPPermanent Secretary for Transport & Housing (Housing) or his representative

委任成員：吳芝萍女士柯興捷先生譚秀娥女士（消費者委員會）黃靜怡女士汪敦敬先生


Ms Jasmine Ng Chi-pingMr Stephen Or Hing-chitMiss Vera Tam Sau-ngor (Consumer Council)Miss Angela Wong Ching-yiMr Lawrance Wong Dun-king

9. 檢討《地產代理條例》所載有關地產代理的執業及運作的規例，並就此提供建議。

10. 不時考慮及檢討地產代理行業的執業手法，並制訂關於地產代理工作的執業通告或指引。

11. 監察業界遵行《地產代理條例》及其附屬法例、《操守守則》、執業通告或指引的情況；並聯絡業界，共同研究提升執業水準及服務質素的方法。


9. To review and make recommendation on regulations under the Estate Agents Ordinance (EAO) relating to the practice and operation of estate agents.

10. To consider and review practices within the trade and prepare practice circulars or guidelines on various aspects of estate agency work from time to time.

11. To monitor compliance of the EAO and its subsidiary legislations, the Code of Ethics, practice circulars or guidelines; and to liaise with the trade on ways to improve the standard of practice and quality of service.




e. 執業及考試委員會（2010年11月1日至2011年3月31日）

1. 制訂、檢討及修訂操守守則，規管地產代理行業的操守及執業方式。

2. 檢討《地產代理條例》所載有關地產代理的執業及運作的規例，並就此提供建議。

3. 不時考慮及檢討地產代理行業的執業手法，並制訂或研究關於地產代理工作的執業通告或指引。

4. 監察業界遵行《地產代理條例》及其附屬法例、《操守守則》、執業通告或其他指引的情況；並聯絡業界，共同研究提升執業水準及服務質素的方法。

5. 制訂地產代理和營業員資格考試的範圍及費用。

6. 為資格考試的執行工作制訂準則。

e. Practice and examination committee (from 1 november 2010 to 31 March 2011)

1. To draw up, review and revise code(s) of ethics governing the conduct and practice of the estate agency trade.

2. To review and make recommendation on the regulations under the Estate Agents Ordinance (EAO) relating to the practice and operation of estate agents.

3. To consider and review practices within the trade and prepare or consider practice circulars or other guidelines on various aspects of estate agency work from time to time.

4. To monitor compliance of the EAO and its subsidiary legislations, code(s) of ethics, practice circulars or other guidelines; and to liaise with the trade on ways to improve the standard of practice and quality of service.

5. To determine the syllabi and fees for the qualifying examinations for estate agents and salespersons.

6. To set the parameters for the administration of the qualifying examinations.



成員 Membership

主席：梁永祥先生，BBS，JP Chairman: Mr William Leung Wing-cheung, BBS, JP

副主席劉燕卿女士 Vice - chairman

Miss Connie Lau Yin-hing

成員：陳超國先生郭昶先生林詩棋先生李景亮先生梁繼昌先生伍景華先生運輸及房屋局常任秘書長

（房屋）或其代表

Members: Mr Chan Chiu-kwokMr Anthony Kwok ChongMr Kevin Lam Sze-cayMr Lee King-leongMr Kenneth Leung Kai-cheongMr Ng King-wahPermanent Secretary for Transport & Housing (Housing) or his representative

委任成員：傅德華先生吳芝萍女士黃靜怡女士汪敦敬先生黃錦昌博士


Mr Fu Tak-wahMs Jasmine Ng Chi-pingMiss Angela Wong Ching-yiMr Lawrance Wong Dun-kingIr Dr Stanley K C Wong

7. 監督資格考試的試題設定與調整、考生違反考試規則的懲處決定，並就此向監管局行政部門發出指引。

8. 檢討及釐定資格考試及其各個部分（如適用）的合格分數和優異分數。


7. To oversee and g ive d i rec t ion to the EAA Administration in the sett ing and moderation of examination questions and determination of penalties for breaches of examination regulations by candidates.

8. To review and determine the pass marks and commendation marks for the qualifying examinations and, where appropriate, those for each part thereof.




f. 專業發展委員會

1. 研究業界的培訓需要，並設計合適的培訓課程，以提升持牌人的執業水平。

2. 監督「持續專業進修計劃」的執行，包括︰

a. 定期檢討計劃的重點、範疇和要求；

b. 訂立分配核心及非核心科目活動的指引；

c. 審批持續專業進修活動的主辦機構及評估持續專業進修活動；

d. 將其他專業界別和行業的合適持續專業進修活動納入監管局的持續專業進修計劃；及

e. 監察持續專業進修計劃的成效，並向監管局董事局提交適當建議。

3. 就專業交流活動提供意見，並監察地產代理業內專業資格互認計劃的執行。

4. 如認為需要，就委員會正確履行及行使其職能和權力獲取這方面的法律及╱或專業意見。

f. Professional Development committee

1. To examine the t ra in ing needs and des ign appropriate training programmes to raise the competence of licensees.

2. To oversee the implementation of the Continuing Professional Development (CPD) Scheme including-

a. conducting periodic reviews on its focus, scope and requirements;

b. determining guidelines for assigning core and non-core activities;

c. approving CPD activity providers and evaluating CPD activities;

d. adopting appropriate CPD activities of other professions and trades into the CPD Scheme of the EAA; and

e. monitoring the effectiveness of the CPD Scheme and making recommendations to the Board as appropriate.

3. To advise on professional exchange activities and monitor the administration of scheme(s) relating to reciprocal recognition of professional qualifications for the estate agency trade.

4. To obtain such legal and/or expert advice as the Committee may consider necessary for or in relation to the proper discharge and exercise of the Committee’s functions and powers.



成員 2010年11月1日至2011年3月31日


主席：劉詩韻女士 Chairman: Ms Serena Lau Sze-wan

成員：洪小蓮女士郭昶先生劉振江先生劉哲寧先生伍景華先生吳麗莎女士運輸及房屋局常任秘書長


Members: Ms Katherine Hung Siu-linMr Anthony Kwok ChongMr Lau Chun-kongMr Liu Che-ningMr Ng King-wahMiss Melissa WuPermanent Secretary for Transport & Housing (Housing) or his representative

委任成員：鄺子文博士劉光耀博士柯興捷先生黃慶隆先生黃傑雄博士楊彩鳳女士職業訓練局代表


Dr Kwong Tsz-manDr Joseph Lau Kwong-yiuMr Stephen Or Hing-chitMr Wong Hing-lungDr Charles Wong Kit-hungMiss Caroline Yeung Choi-fungRepresentative of the Vocational Training Council

成員 2010年4月1日至2010年10月31日


主席：李峻銘先生 Chairman: Mr Eric Lee Chun-ming

成員：洪小蓮女士郭昶先生劉詩韻女士廖玉玲女士伍景華先生運輸及房屋局常任秘書長


Members: Ms Katherine Hung Siu-linMr Anthony Kwok ChongMs Serena Lau Sze-wanMs Elaine Liu Yuk-lingMr Ng King-wahPermanent Secretary for Transport & Housing (Housing) or his representative

委任成員：鄺子文博士劉光耀博士黃傑雄博士楊彩鳳女士余家旗先生職業訓練局代表


Dr Kwong Tsz-manDr Joseph Lau Kwong-yiuDr Charles Wong Kit-hungMiss Caroline Yeung Choi-fungMr Alex Yu Ka-kiRepresentative of the Vocational Training Council



g. 第28條調查委員會（2010年4月1日至2010年10月31日）

1. 就如何選取需要根據《地產代理條例》（《條例》）第28條展開調查的個案制定指引和程序。

2. 監督根據《條例》第28條進行的調查，確保調查工作符合法例規定。

3. 接受和考慮監管局行政部門就其認為有需要根據《條例》第28條進行調查的懷疑或涉嫌違反或沒有遵守《條例》的規定或其他條文的個案所呈交的報告和建議。

4. 根據《條例》第28條委任調查員，展開委員會認為有需要的調查及執行其認為有需要的職務。

5. 接受和考慮根據《條例》第28條委任的調查員所提交的報告和建議。

6. 如調查員建議委員會該考慮行使《條例》第30條所訂明的紀律處分的權力，則將有關個案轉交紀律委員會處理。

7. 如認為需要，就行使《條例》第28條所訂明的監管局職能和權力獲取法律及╱或專業意見或服務。

8. 行使及執行《條例》第28條所訂明的監管局職能和權力。

g. section 28 investigation committee (from 1 April 2010 to 31 october 2010)

1. To formulate guidelines for and procedures on the selection of cases for investigation under section 28 of the Estate Agents Ordinance (EAO).

2. To oversee the conduct of investigation under section 28 of the EAO to ensure its full compliance.

3. To r e c e i v e a n d c o n s i d e r r e p o r t s a n d recommendations from the EAA Administration on suspected or alleged cases of breaches or non-compliance of a requirement(s) or other provision(s) of the EAO warranting investigation under section 28 of the EAO.

4. To appoint investigator(s) under section 28 of the EAO to conduct such investigation and carry out such duties as the Committee considers necessary.

5. To r ece i ve and cons ide r t he r epo r t s and recommendations from the investigator appointed by the Committee under section 28 of the EAO.

6. Where the inves t igator recommends to the Committee that the exercise of disciplinary powers under section 30 of the EAO should be considered, to refer the case to the Disciplinary Committee for its consideration.

7. To obtain legal and/or expert advice or service relating to the exercise of the Authority’s functions and powers as prescribed by section 28 of the EAO as and when the Committee considers necessary.

8. To exercise and perform any and such of the Authority’s functions and powers as prescribed by section 28 of the EAO.

成員 Membership

主席：廖譚婉瓊女士，JP Chairman: Mrs Amy Liu Tam Yuen-king, JP

成員：廖玉玲女士蔡克剛先生，BBS，JP

Members: Ms Elaine Liu Yuk-lingMr Herbert Tsoi Hak-kong, BBS, JP



h. 考試小組（2010年4月1日至2010年10月31日）

1. 制訂地產代理和營業員資格考試的範圍及費用。

2. 研究業界的培訓需要，並設計合適的培訓課程，提升有志入職人士的知識水平。

3. 為資格考試的執行工作制訂準則。

4. 監督資格考試的試題設定與調整、考生違反考試規則的懲處決定，並就此向監管局行政部門發出指引。

5. 檢討及釐定資格考試及其各個部分的合格分數和優異分數。

6. 如認為需要，就小組行使其職能和權力獲取法律及╱或專業意見或服務。

g. examination Panel (from 1 April 2010 to 31 october 2010)

1. To de te rmine the examina t ion sy l lab i and examination fees for the qualifying examinations for estate agents and salespersons.

2. To examine the t ra in ing needs and des ign appropriate training programmes to raise the knowledge level of aspiring licensees.

3. To set the parameters for the administration of the qualifying examinations.

4. To oversee and g ive d i rec t ion to the EAA Administration in the sett ing and moderation of examination questions and determination of penalties for breaches of examination regulations by candidates.

5. To review and determine the pass marks and commendation marks for the qualifying examinations and each part thereof.

6. To obtain legal and/or expert advice or service relating to the exercise of the Panel’s functions and powers as and when the Panel considers necessary.

成員 Membership

主席：陳友正博士 Chairman: Dr Bob Chan Yau-ching

成員：郭昶先生李峻銘先生李景亮先生伍景華先生

Members: Mr Anthony Kwok ChongMr Eric Lee Chun-mingMr Lee King-leongMr Ng King-wah

委任成員：傅德華先生吳健源先生謝國生博士黃錦昌博士


Mr Fu Tak-wahMr Ng Kin-yuenDr Maurice K S Tse Ir Dr Stanley K C Wong



i. 第28條調查小組 1

（2010年11月1日至2011年3月31日）

1. 就如何選取需要根據《地產代理條例》（《條例》）第28條展開調查的個案制定指引和程序。

2. 監督根據《條例》第28條進行的調查，確保調查工作符合法例規定。

3. 接受和考慮監管局行政部門就其認為有需要根據《條例》第28條進行調查的懷疑或涉嫌違反或沒有遵守《條例》的規定或其他條文的個案所呈交的報告和建議。

4. 根據《條例》第28條委任調查員，展開小組認為有需要的調查及執行其認為有需要的職務。

5. 接受和考慮根據《條例》第28條小組委任的調查員所提交的報告和建議。

i. section 28 investigation Panel1 (from 1 november 2010 to 31 March 2011)

1. To formulate guidelines for and procedures on the selection of cases for investigation under section 28 of the Estate Agents Ordinance (EAO).

2. To oversee the conduct of investigation under section 28 of the EAO to ensure its full compliance.

3. To r e c e i v e a n d c o n s i d e r r e p o r t s a n d recommendations from the EAA Administration on suspected or alleged cases of breaches or non-compliance of a requirement(s) or other provision(s) of the EAO warranting investigation under section 28 of the EAO.

4. To appoint investigator(s) under section 28 of the EAO to conduct such investigation and carry out such duties as the Panel considers necessary.

5. To r ece i ve and cons ide r t he r epo r t s and recommendations from the investigator appointed by the Panel under section 28 of the EAO.

1 不屬常設委員會，僅在需要時召開會議 1 Not a standing committee, meet as and when needed



6. 如調查員建議小組該考慮行使《條例》第30條所訂明的紀律處分的權力，則將有關個案轉交紀律委員會處理。

7. 如認為需要，就行使《條例》第28條所訂明的監管局職能和權力獲取法律及╱或專業意見或服務。

8. 行使及執行《條例》第28條所訂明的監管局職能和權力。

6. Where the investigator recommends to the Panel that the exercise of disciplinary powers under section 30 of the EAO should be considered, to refer the case to the Disciplinary Committee for its consideration.

7. To obtain legal and/or expert advice or service relating to the exercise of the EAA’s functions and powers as prescribed by section 28 of the EAO as and when the Panel considers necessary.

8. To exercise and perform any and such of the EAA’s functions and powers as prescribed by section 28 of the EAO.

成員 Membership

主席：廖玉玲女士 Chairman: Ms Elaine Liu Yuk-ling

成員：洪小蓮女士梁繼昌先生

Members: Ms Katherine Hung Siu-linMr Kenneth Leung Kai-cheong


查詢 Enquiry

服務類別 Service Type 指標 Standard 達標率 Results

回覆查詢Response Enquiry

電話查詢 • （留言訊息）

書面查詢•

Telephone enquiries • (voice mail messages)

Written enquiries•

1個工作天內 •

7個工作天內•

Within 1 working day •

Within 7 working days•

100%

99.7%

牌照 Licensing


處理新牌照及續牌申請

Process new and renewal licence applications

10個工作天內 2 Within 10 working day2 100%

退款予不獲發牌照或取消牌照申請的申請人

Refund of application fees for rejected / cancelled applications

10個工作天內 3 Within 10 working day3 98.6%

資格考試 Qualifying Examinations


發出成績通知單 1 Issue result slips1 考試後的23個工作天內

Within 23 working days after the examination

100%

1 監管局委託香港考試及評核局舉辦資格考試。考試的成績通知單由香港考試及評核局發出。

2 由監管局收妥牌照申請、所需費用及文件之日起計，至發出牌照╱營業詳情說明書（即牌照可供領取之日）為止。如監管局須將牌照申請於2010年10月31日前交由牌照及執業委員會及於2010年11月1日後交由牌照委員會考慮是否符合法定的「適當人選」標準，服務指標則不適用。監管局處理此類牌照申請時，須進行調查及預留時間供申請人或第三者（例如破產管理署、信託人或警務處）作出回覆，待得到回覆後，才可以決定批准或拒絕申請，因此所需時間較長。

3 由取消或拒絕申請之日起計；如屬破產個案，則由收到破產管理署或信託人指示之日起計。

1 Issued by the Hong Kong Examinations and Assessment Authority, authorised by the EAA to administer the examinations

2 From receipt of the application, the required fee and documents to the date of issuance of a licence/statement of particulars of business (ie. the date the licence is available for collection). This service target does not apply to applications requiring determination by the EAA Licensing and Practice Committee prior to 31 Oct 2010 and Licensing Committee after 1 Nov 2010 as to whether the applicant fulfils the statutory “fit and proper” requirement. A longer duration is needed for such cases because the EAA has to conduct investigations and allow time for the applicant or any third party (such as the Official Receiver’s Office, trustees-in-bankruptcy or the Police) to respond before the EAA approves or rejects the application.

3 From the date the application is cancelled or rejected; for bankruptcy cases, from the date of receipt of instructions from the Official Receiver’s Office or the trustee-in-bankruptcy in question.

附錄二 2010/11年度服務達標率Annex 2 AchieVeMent of PerforMAnce stAnDArDs in 2010/11


投訴處理 Complaints and Enforcement


確認收到投訴人的書面投訴

Acknowledge receipt of written complaints

5個工作天內 Within 5 working day2 100%

收到足夠證明文件後向投訴人作出書面回覆

Provide a written response to complainants upon receipt of sufficient supporting documents

15個工作天內 Within 15 working day 100%

通知投訴人調查結果

Notify complainants of the outcome of the investigation

10個工作天內 4 Within 10 working day4 98.5%

通知被投訴人（持牌人）調查結果

Notify complainees (licensees) of the outcome of the investigation

10個工作天內 5 Within 10 working day5 100%

持續專業進修計劃 Continuing Professional Development (CPD)


完成處理持續專業進修活動認可的申請

Process applications for endorsement of CPD activities

20個工作天內 Within 20 working day 94.4%6

發出「出席證書」予參加監管局舉辦的持續專業進修活動的持牌人

Issue certificates of attendance for EAA-organised CPD activities

30個工作天內 Within 30 working day 100%

紀律研訊 Disciplinary Proceedings


舉行首次紀律研訊

Conduct the first disciplinary inquiry hearing of a case

完成調查後的90個工作天內

Within 90 working days after completion of investigation

99.5%

4 由完成調查之日起計；假如監管局須要為有關個案舉行紀律研訊，則以向被投訴人發出研訊結果通知書之日起計。

5 不包括要舉行紀律研訊的投訴個案。法例規定，監管局「須自有關決定日期起21天內，將該決定以書面通知持牌人和通知該決定所針對的任何其他人」。

6 由於監管局董事局及專業發展委員會於2010年11月出現成員變動，致使專業發展委員會未能在承諾的時限內審核一項申請。年內，專業發展委員會共批准18項申請。

4 From completion of investigation or, in the event the case is submitted for an inquiry hearing, the date of the letter notifying the complainee of the result of the hearing.

5 Excluding cases that are submitted for inquiry hearings. In these cases, the statutory requirement is for EAA “within the period of 21 days beginning on the date of the relevant decision, [to] notify in writing the licensee and any other person against whom the decision is made of the decision.”

6 One application could not be reviewed by the Professional Development Committee (PDC) within the pledged timeframe due to the change in membership of the EAA Board and the PDC in November 2010. During the year, the PDC endorsed a total of 18 applications.


致地產代理監管局全體成員（「監管局」）（根據《地產代理條例》於香港成立）

本核數師已完成審核載於第3至18頁之監管局財務報表，該等財務報表包括截至2011年3月31日之資產負債表、收支結算表、截至該日止年度備儲變動表及現金流量表，以及主要會計政策摘要和其他附註。

監管局對財務報表之責任

監管局須負責根據香港會計師公會頒佈之香港財務報告準則，編製及如實而公平地呈報財務報表。此項責任包括設計、實施及維持與編製及如實而公平地呈報財務報表有關之內部監控，以確保並無因欺詐或錯誤而造成之重大錯誤陳述；選擇及應用適當的會計政策；及作出在有關情況下屬合理的會計估計。

核數師之責任

本核數師之責任是根據審核結果就該等財務報表發表意見，並按照《地產代理條例》第12條僅向監管局整體成員報告，除此之外並無其他目的。本核數師不會就本報告之內容向任何其他人士負上或承擔任何責任。本核數師已根據香港會計師公會頒佈之香港審計準則進行審核工作，該等準則規定本核數師符合操守要求，以及計劃和執行審核工作，以合理地確定該等財務報表是否不含重大的錯誤陳述。

TO THE MEMBERS OF THE ESTATE AGENTS AUTHORITY 地產代理監管局(established in Hong Kong pursuant to the Estate AgentsOrdinance)

We have audited the financial statements of the Estate Agents Authority set out on pages 3 to 18, which comprise the statement of financial position as at 31 March 2011, and the statement of comprehensive income, the statement of movements in reserves and the statement of cash flows for the year then ended, and a summary of significant accounting policies and other explanatory information.

estate Agents Authority's responsibility for the financial statements

The Estate Agents Authority is responsible for the preparation of financial statements that give a true and fair view in accordance with Hong Kong Financial Reporting Standards issued by the Hong Kong Institute of Certified Public Accountants and the Estate Agents Authority Ordinance, and for such internal control as the Estate Agents Authority determine is necessary to enable the preparation of financial statements that are free from material misstatement, whether due to fraud or error.

Auditor's responsibility

Our responsibility is to express an opinion on these financial statements based on our audit and to report our opinion solely to you, as a body, in accordance with section 12 of the Estate Agents Ordinance, and for no other purpose. We do not assume responsibility towards or accept liability to any other person for the contents of this report. We conducted our audit in accordance with Hong Kong Standards on Auditing issued by the Hong Kong Institute of Certified Public Accountants. Those standards require that we comply with ethical requirements and plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement.

獨立核數師報告書inDePenDent AuDitor’s rePort


審核工作涉及執行若干程序，以取得有關財務報表所述金額及披露事項之審計憑證。所選用之程序取決於核數師之判斷，包括評估因欺詐或錯誤而造成財務報表重大錯誤陳述之風險。於作出風險評估時，核數師會考慮與監管局編製及如實而公平地呈報財務報表有關之內部監控，以設計在有關情況下屬合理的審核程序，但並非為了就監管局之內部監控有效與否發表意見。審核工作亦包括評價所應用之會計政策是否適當、監管局所作之會計估計是否合理，以及評價財務報表之整體呈報方式。

本核數師相信，本核數師已取得充足和適當的審計憑證，作為本核數師審核意見之基礎。獨立核數師報告書

意見

本核數師認為，上述的財務報表均根據香港財務報告準則，如實而公平地顯示監管局於2011年3月31日結算時的財務狀況，及監管局截至該日止年度的盈餘及現金流量。

德勤 • 關黃陳方會計師行執業會計師香港2011年 8月30日

An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor's judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the entity's preparation of financial statements that give a true and fair view in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the Estate Agents Authority's internal control. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of accounting estimates made by the Estate Agents Authority, as well as evaluating the overall presentation of the financial statements.

We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion.

opinion

In our opinion, the financial statements give a true and fair view of the state of the Estate Agents Authority's affairs as at 31 March 2011, and of its surplus for the year then ended in accordance with Hong Kong Financial Reporting Standards.

Deloitte Touche TohmatsuCertified Public AccountantsHong Kong30 August 2011


收支結算表截至2010年3月31日止年度

stAteMent of incoMe AnD exPenDitureFOR THE YEAR ENDED 31 MARCH 2010

附註NOTE

2011港元hK$

2010港元HK$

收入 income牌照費 License fees 5 59,263,304 22,999,692考試費 Examination fees 10,747,000 6,745,800利息收入 Interest income 400,036 312,767

70,410,340 30,067,259支出 expenditure核數師酬金 Auditor's remuneration 65,000 65,000公事外訪 Business trip – –公眾教育開支 Community education expenses 431,496投訴、調查及紀律程序的支出

Complaints, investigation and disciplinary proceedings expenses 73,622 106,071

中港代理資格互認計劃支出 CEPA scheme expenses 100,833 -折舊 Depreciation 801,165 992,323

器材維修保養及通訊費用Equipment maintenance and communication expenses 677,943 781,716

地產代理證支出 Estate agent card expenses 128,493 136,781保險費 Insurance 845,191 940,132

註銷固定資產之虧損Loss on disposal of property, plant and equipment 9,102 1,915

汽車營運支出 Motor vehicle operating expenses 168,347 175,480

辦公室及相關開支Office accommodation and related expenses 1,595,905 1,691,482

營業租約 – 土地及樓宇Operating lease rentals in respect of land and buildings 4,065,704 2,931,563

郵費 Postage 367,728 409,136印刷及文具 Printing and stationery 624,595 414,480專業服務費 Professional service fees 350,188 250,408公共關係及聯絡費 Public relations and liaison 50,325 61,307宣傳及廣告 Publicity and advertising 231,000 –員工成本 Staff costs - 薪金及津貼 - wages, salaries and allowances 37,993,340 35,205,666

- 強制性公積金供款 - contributions to mandatory provident

fund scheme 870,388 771,098考試服務費 Service fees for examinations 6,917,059 4,383,302培訓活動開支 Training activity expenses 915,705 681,046其他開支 Other expenses 294,588 84,456

57,577,717 50,323,163

本年度盈餘/ (赤字 ) Surplus (deficit) for the year 12,832,623 (20,255,904)

財務報表finAnciAl stAteMents


資產負債表2010年3月31日

stAteMent of finAnciAl PositionAT 31 MARCH 2011

附註NOTE

2011港元hK$

2010港元HK$

非流動資產 non-current assets物業、設備及器材 Property, plant and equipment 7 2,072,649 1,683,636持有至到期投資 Held-to-maturity investments 8 – 8,106,168

2,072,649 9,789,804

流動資產 current assets持有至到期投資 Held-to-maturity investments 8 12,077,568 –應收及預付賬款及按金 Debtors, prepayments and deposits 2,775,109 2,706,149銀行結存及現金 Bank balances and cash 9 129,057,807 111,202,178

143,910,484 113,908,327

流動負債 current liabilities應付賬款及應計項目 Creditors and accruals 7,148,679 4,945,430遞延收入 Deferred income 10 46,450,678 40,873,329已收牌照申請款項 Licence applications received 11 3,695,897 2,024,116

57,295,254 47,842,875

流動資產淨值 Net current assets 86,615,230 66,065,45288,687,879 75,855,256

儲備 Reserves 88,687,879 75,855,256

載於第3頁至18頁之財務報表於2011年8月29日獲監管局全體成員批准及授權發佈，並由以下代表簽署：

陳韻雲余呂杏茜主席行政總裁

The financial statements on pages 3 to 18 were approved and authorised for issue by the Members of the Estate Agents Authority on 29 August 2011 and are signed on their behalf by:

Vivien chan rosanna ureChairman Chief Executive Officer

財務報告


儲備變動表截至2010年3月31日止年度

stAteMent of MoVeMents in reserVesFOR THE YEAR ENDED 31 MARCH 2011

訴訟均衡儲備 Litigation

equalisation reserve

資本項目基金

Capital

project fund

牌照費用寬免基金

Licence fee concession

fund

累積儲備

Cumulative fund

總計

Total

港元 HK$ 港元 HK$ 港元 HK$ 港元 HK$ 港元 HK$

2009年4月1日 At 1 April 2009 9,750,000 25,634,346 24,600,000 36,126,814 96,111,160

該年度 (赤字 ) Deficit for the year – – – (20,255,904) (20,255,904)

由累積結餘轉出 Transfer to cumulative fund – (10,284) (27,679,378) 27,689,662 –

2010年3月31日及2010年4月1日

At 31 March 2010 and 1 April 2010 9,750,000 25,624,062 (3,079,378) 43,560,572 75,855,256

該年度盈餘 Surplus for the year – – – 12,832,623 12,832,623

由累積結餘轉(入)出

Transfer (to) from cumulative fund – (1,424,000) 3,079,378 (1,655,378) –

2011年3月31日 At 31 March 2011 9,750,000 24,200,062 – 54,737,817 88,687,879

訴訟均衡儲備為用以支付因監管局的若干決定在上訴委員會被提出上訴，或在法院上受到質疑所引致的訴訟成本。監管局每年會酌情自累積結餘中轉撥款項至訴訟均衡儲備，或由訴訟均衡儲備轉撥款項至累積結餘。

資本項目基金為用以支付發展經本局核准的資本項目成本。監管局每年會酌情自累積結餘中轉撥款項至資本項目基金，或由資本項目基金轉撥款項至累積結餘。

截至2011年3月31日，資本項目基金包括預留作日後可能購置永久辦公室的款項22,000,000 港元（2010年：22,000,000港元）。

The litigation equalisation reserve caters for the cost of litigation arising from some of the Estate Agents Authority's decisions being appealed to the Appeal Panel or challenged in court. An annual transfer will be made from the cumulative fund to the litigation equalisation reserve or from the litigation equalisation reserve to the cumulative fund at the discretion of the Estate Agents Authority ("EAA").

Capital project fund caters for the cost of capital projects, as approved by the EAA. Transfers will be made from the cumulative fund to the capital project fund or from the capital project fund to the cumulative fund at the discretion of the EAA.

Capital project fund balance at 31 March 2011 included an amount of HK$22,000,000 (2010: HK$22,000,000) which represents funds for the possible acquisition of permanent office accommodation in future.

finAnciAl stAteMents


牌照費用寬免基金用以支付向持牌人提供一次過寬免半年牌照費用的成本。地產代理監管局會酌情自累積結餘中轉撥款項至牌照費用寬免基金，或由牌照費用寬免基金轉撥款項至累積結餘。

Licence fee concession fund caters for the cost of a one-off, six-month licence fee concession to licensees. Transfer will be made from the cumulative fund to the licence fee concession fund or from the licence fee concession fund to the cumulative fund at the discretion of the EAA.

現金流量表截至2010年3月31日止年度

stAteMent of cAsh floWFOR THE YEAR ENDED 31 MARCH 2010

2011港元hK$

2010港元HK$

營運活動的現金流量 oPerAting ActiVities 本年盈餘/(赤字 ) Surplus (deficit) for the year 12,755,623 (20,255,904) 就下列各項作出調整： Adjustments for: 利息收入 Interest income (400,036) (321,767) 折舊費用 Depreciation 801,165 992,323 註銷固定資產虧損 Loss on disposal of property,

plant and equipment 9,102 1,915營運資金變動前之營運現金流量

Operating cash flows before movements in working capital 13,165,854 (19,583,433)

應收及預付賬款及按金(增加)減少

Decrease (increase) in debtors, prepayments and deposits 57,437 (1,441,051)

應付賬款及應計項目之 (減少)增加

Increase (decrease) in creditors and accruals 2,203,249 (1,797,332)

遞延收入之增加(減少) Increase in deferred income 5,577,349 9,013,263已收牌照申請款項之增加 (減少 )

Increase in licence applications received1,671,781 939,311

營運活動的現金流入淨額 Net cash from (used in) operating activities 22,752,670 (12,869,242)投資活動的現金流量 inVesting ActiVities 出售固定資產 Proceeds from disposal of property,

plant and equipment – 650 購置固定資產 Purchase of property,

plant and equipment (1,199,280) (930,008) 已收利息 Interest received 273,639 379,866 購入持有至到期投資 Purchase of held-to-maturity investments (3,971,400) (8,106,168)投資活動所得 (使用 )的現金淨額 Net cash used in investing activities (4,820,041) (8,655,660)現金及現金等價物的 (減少 ) 增加淨額

Net increase (decrease) in cash and cash equivalents 17,855,629 (21,524,902)

於本年度初的現金及現金等價物 Cash and cash equivalents at the beginning of the year 111,202,178 132,727,080

於本年度止的現金及現金等價物 Cash and cash equivalents at the end of the year 129,057,807 111,202,178

現金及現金等價物的結餘分析： Analysis of balances of cash and cash equivalents:

銀行結存及現金 Bank balances and cash 129,057,807 111,202,178

財務報告


賬目附註截至2011年3月31日止年度

1. 簡介

地產代理監管局根據於1997年5月29日頒佈的《地產代理條例》成立。其主要職能為促進地產代理的專業操守，提高從業員的專業水平，及簽發地產代理牌照。監管局的註冊辦事處及主要辦公地點為香港灣仔皇后大道東合和中心48樓。本財務報表以港元呈報，為監管局的功能貨幣。

2. 應用新訂及經修訂之香港財務報告準則

本年度，監管局應用以下香港會計師公會頒佈之新訂及經修訂修正及解釋（「新香港財務報告準則」）。

香港財務報告準則（修訂本） HKFRSs (Amendments) 香港財務報告準則（修訂本） HKFRSs (Amendments) 香港會計準則第27號（2008年經修訂） HKAS 27 (Revised 2008) 香港會計準則第39號（修訂本） HKAS 39 (Amendments) 香港財務報告準則第2號（修訂本） HKFRS 2 (Amendments)

notes to the finAnciAl stAteMentsfor the yeAr enDeD 31 MArch 2011

1. generAl

The EAA was established with the principal functions of promoting integrity and competence of estate agents and issuing estate agents' licences under the Estate Agents Ordinance dated 29 May 1997 (date of enactment). The address of the registered office and principal place of business of the EAA is 48th Floor, Hopewell Centre, Queen's Road East, Hong Kong. The financial statements are presented in Hong Kong dollars, which is the same as the functional currency of the EAA.

2. APPlicAtion of neW AnD reViseD hong Kong finAnciAl rePorting stAnDArDs

In the current year, the EAA has applied the following new and rev i sed s tandards, amendments and interpretations ("new and revised HKFRSs") issued by the Hong Kong Institute of Certified Public Accountants ("HKICPA").

修訂香港財務報告準則第5號，作為2008年香港財務報告準則之改進之一部份 Amendment to HKFRS 5 as part of Improvements to HKFRSs 2008 2009年香港財務報告準則之改進 Improvements to HKFRSs 2009 綜合及獨立財務報表 Consolidated and Separate Financial Statements 合資格對沖項目 Eligible Hedged Items 集團以現金結算以股份為基礎之付款交易 Group Cash-settled Share-based Payment Transactions



香港財務報告準則第3號（2008年經修訂） HKFRS 3 (Revised 2008) 香港（國際財務報告詮釋委員會） —詮釋第17號 HK(IFRIC) - Int 17 香港詮釋第5號 HK Interpretation 5 除下述者外，應用新訂及經修訂之香港財務報告準則對目前或過往會計期間監管局的財務報表並無重大影響。監管局並無提早應用下列已頒佈但未生效之新訂及經修訂準則、修訂或詮釋。香港財務報告準則（修訂本） HKFRSs (Amendments) 香港會計準則第1號（修訂本） HKAS 1 (Revised) (as amended in 2011) 香港會計準則第12號（修訂本） HKAS 12 (Amendments) 香港會計準則第19號（2011年經修訂） HKAS 19 (Revised 2011) 香港會計準則第24號（2009年經修訂） HKAS 24 (As revised 2009) 香港會計準則第27號（2011年經修訂） HKAS 27 (2011) 香港會計準則第28號（2011年經修訂） HKAS 28 (2011)

業務合併 Business Combinations 向擁有人分派非現金資產 Distributions of Non-cash Assets to Owners

財務報表之呈列—借款人對有償還要求條款之有期貸款

之分類 Presentation of Financial Statements - Classification by the

Borrower of a Term Loan that Contains a Repayment on Demand Clause

The app l ica t ion of the new and revised HKFRSs in the curren t year has had no ma teria l ef fect on the amoun ts reported in this financia l sta temen ts of the EAA and/or disclosures in these financial statements. The EAA has not early applied the following new and revised standards, amendments or interpretations that have been issued but are not yet effective.

2010年頒佈之香港財務報告準則之改進1 Improvements to HKFRSs issued in 20101 其他全面收益項目之呈列7 Presentation of Financial Statements7 遞延稅項：收回相關資產6 Deferred Tax: Recovery of Underlying Assets6 僱員福利8 Employee Benefits8 關連方披露4 Related Party Disclosures4 獨立財務報表8 Separate Financial Statements8 於聯營公司及合營企業之投資8 Investments in Associates and Joint Ventures8

財務報告


香港會計準則第32號（修訂本） HKAS 32 (Amendments) 香港財務報告準則第1號（修訂本） HKFRS 1 (Amendments) 香港財務報告準則第1號（修訂本） HKFRS 1 (Amendments) 香港財務報告準則第7號（修訂本） HKFRS 7 (Amendments) 香港財務報告準則第9號 HKFRS 9 香港財務報告準則第10號 HKFRS 10 香港財務報告準則第11號 HKFRS 11 香港財務報告準則第12號 HKFRS 12 香港財務報告準則第13號 HKFRS 13 香港（國際財務報告詮釋委員會）－詮釋第14號（修訂本） HK(IFRIC) - Int 14 (Amendments) 香港（國際財務報告詮釋委員會）－詮釋第19號 HK(IFRIC) - Int 19 1 於2010年7月1日、2011年1月1日或之後開始之年度生效（視所屬情況而定） 2 於2010年2月1日或之後開始之年度生效 3 於2010年7月1日或之後開始之年度生效 4 於2011年1月1日或之後開始之年度生效 5 於2011年7月1日或之後開始之年度生效 6 於2012年1月1日或之後開始之年度生效 7 於2012年7月1日或之後開始之年度生效 8 於2013年1月1日或之後開始之年度生效

供股之分類2 Classification to Rights Issues2 對首次採納者就香港財務報告準則第7號披露之比較資料之有限豁免3 Limited Exemption from Comparative HKFRS 7 Disclosures for First-time Adopters3 嚴重高通脹及剔除首次採納者之固定日期5 Severe Hyperinflation and Removal of Fixed Dates for First-time Adopters5 披露—轉讓金融資產5 Disclosures - Transfers of Financial Assets5 金融工具8 Financial Instruments8 綜合財務報表8 Consolidated Financial Statements8 共同安排8 Joint Arrangements8 披露於其他實體之權益8 Disclosure of Interests in Other Entities8 公平價值計量8 Fair Value Measurement8 最低資金要求之預付款項4 Prepayments of a Minimum Funding Requirement4 以股本工具抵銷金融負債3 Extinguishing Financial Liabilities with Equity Instruments3 1 Effective for annual periods beginning on or after 1 July 2010 or 1 January 2011, as appropriate 2 Effective for annual period beginning on or after 1 February 2010 3 Effective for annual period beginning on or after 1 July 2010 4 Effective for annual period beginning on or after 1 January 2011 5 Effective for annual period beginning on or after 1 July 2011 6 Effective for annual period beginning on or after 1 January 2012 7 Effective for annual period beginning on or after 1 July 2012 8 Effective for annual period beginning on or after 1 January 2013



香港財務報告準則第9號「金融工具」（於2009年11月頒佈）引入對金融資產分類及計量之新規定。香港財務報告準則第9號

「金融工具」（於2010年11月經修訂）增加對金融負債及取消確認之新規定。

香港財務報告準則第9號規定所有符合香港會計準則第39號「金融工具：確認及計量」範疇之已確認金融資產其後將按攤銷成本或公平價值計量。特別是，以旨在收取合約現金流量之業務模式持有及合約現金流量僅為本金及尚未償還本金之利息之債務投資，一般於其後會計期間結束時按攤銷成本計量。所有其他債務投資及股本投資於其後會計期間結束時按公平價值計量。香港財務報告準則第9號將2013年1月1日或之後開始之年度期間生效，並允許提早應用。

監管局預期將於監管局截至2013年12月31日止財政年度的財務報表內採納香港財務報告準則第9號，而董事正評估應用新準則對監管局的業績及財務狀況所產生的影響。

監管局預期應用新訂及經修訂準則、修訂或詮釋將不會對監管局的業績及財務狀況造成重大影響。

HKFRS 9 "Financial Instruments" (as issued in November 2009) introduces new requirements for the classification and measurement of financial assets. HKFRS 9 "Financial Instruments" (as revised in November 2010) adds requirements for financial liabilities and for derecognition.

Under HKFRS 9, all recognised financial assets that are within the scope of HKAS 39 "Financial Instruments: Recognition and Measurement" are subsequently measured at either amortised cost or fair va lue. Specifica l ly, debt investments that are held within a business model whose objective is to collect the contractual cash flows, and that have contractual cash flows that are solely paymen ts of principa l and in terest on the principa l outstanding are generally measured at amortised cost at the end of subsequent accounting periods. All other debt investments and equity investments are measured at their fair values at the end of subsequent accounting periods. HKFRS 9 is effective for annual periods beginning on or after 1 January 2013, with earlier application permitted.

The EAA anticipates that HKFRS 9 that will be adopted in the EAA's financial statements for financial year ending 31 December 2013 and are in the process of assessing the impact from the application of the new standard on the results and the financial position of the EAA.

The EAA anticipates that the application of other new and revised standards, amendments or interpretations will have no material impact on the results and the financial position of the EAA.

財務報告


3. 主要會計政策

本財務報表乃採用歷史成本法為基礎並根據香港會計師公會頒佈的香港財務報告準則編製。主要採用的會計政策如下：

收入確認牌照收入乃根據牌照期限以直線攤分入賬。

考試收入乃根據考試日期入賬。

金融資產的利息收入乃按時間基準，並參照尚未償還的本金額及按適用的實際利率累計，該利率為於首次確認時，將於金融資產的選取壽命期間的預計未來現金收入準確折讓至該資產賬面淨值的利率。

物業、設備及器材物業、設備及器材是按照成本減其後累積折舊及累積減值虧損 (如有 )後列賬。

物業、設備及器材的折舊乃以直線法計算，按有關項目的估計使用年限及經計及其估計剩餘價值撇銷其成本。

物業、設備及器材於出售時或預期繼續使用該項資產不會產生未來經濟效益時終止確認。終止確認資產所得的任何盈虧 (出售進賬淨額與該項目賬面金額的差額 )，在終止確認該項目之年度計入收支結算表。

3. significAnt Accounting Policies The financial statements have been prepared under the historical cost basis and in accordance with Hong Kong Financial Reporting Standards issued by the HKICPA and the Estate Agents Authority Ordinance. The significant accounting policies adopted are as follows:

revenue recognitionI ncome f rom i s su ing l i cences i s recogn i sed on a s t ra ight - l ine bas is over the l i fe of the l icence .

Income from examinations is recognised on the date of the examination: Interest income from a financial asset is recognised when it is probable that economic benefits will flow into the Company and the amount of revenue can be measured reliably. Interest income from a financial asset is accrued on a time basis, by reference to the principal outstanding and at the effective interest rates applicable, which is the rate that exactly discounts the estimated future cash receipts through the extracted life of the financial asset to that asset's net carrying amount on initial recognition.

Property, plant and equipmentProperty, plant and equipment are stated at cost less subsequent accumulated depreciation and accumulated impairment losses, if any.

Depreciation is recognised so as to write off the cost of items of property, plant and equipment over their estimated useful lives and after taking into account their estimated residual value, using the straight-line method. An item of property, plant and equipment is derecognised upon disposal or when no future economic benefits are expected to arise from the continued use of the asset. Any gain or loss arising on the disposal or retirement of an item of property, plant and equipment is determined as the difference between the sales proceeds and the carrying amount of the asset is recognised in profit or loss.



資產減值監管局會於每個結算日評檢其資產的賬面值，以釐訂有否任何顯示該等資產已出現減值虧損的跡象。倘估計資產之可收回價值低於其賬面值，則有關資產之賬面值將扣減至其可收回價值。減值虧損即時確認為開支。

倘減值虧損隨後回轉，則資產之賬面值將增加至其可收回價值之修訂估值，惟所增加之賬面值不得超過該資產於過往年度並無出現虧損之賬面值。所回轉之減值虧損即時確認為收入。

金融工具金融資產及金融負債在監管局成為該工具合約條文的其中一方時於資產負債表確認。金融資產及金融負債初期以公平價值計算。可直接撥歸購買或發行金融資產及金融負債的交易成本，將加到金融資產或金融負債（視所屬情況而定）於初次確認時的公平價值或從中扣減。

金融資產監管局之金融資產主要為貸款及應收款項，以及持有至到期投資。所有日常買賣之金融資產均於交易日確認及終止確認。日常買賣指須於市場規則或慣例訂立之時間內交收資產之金融資產買賣。

impairment losses on tangible assetsAt the end of the reporting period, the EAA reviews the carrying amounts of its tangible assets to determine whether there is any indication that those assets have suffered an impairment loss. If any such indication exists, the recoverable amount of the asset is estimated in order to determine the extent of the impairment loss, if any. If the recoverable amount of an asset is estimated to be less than its carrying amount, the carrying amount of the asset is reduced to its recoverable amount. An impairment loss is recognised as an expense immediately.

Where an impairment loss subsequently reverses, the carrying amount of the asset is increased to the revised estimate of its recoverable amount, but so that the increased carrying amount does not exceed the carrying amount that would have been determined had no impairment loss been recognised for the asset in prior years. A reversal of an impairment loss is recognised as income immediately.

financial instrumentsFinancial assets and financial liabilities are recognised on the statement of financial position when the EAA becomes a party to the contractual provisions of the instrument. Financial assets and financial liabilities are initially measured at fair value. Transaction costs that are directly attributable to the acquisition or issue of financial assets and financial liabilities are added to or deducted from the fair value of the financial assets or financial liabilities, as appropriate, on initial recognition. Financial assetsThe EAA's financial assets are mainly loan and receivables and held- to -ma tur i ty investmen ts. Al l regula r way purchases or sales of financial assets are recognised and derecognised on a trade date basis. Regular way purchases or sales are purchases or sales of financial assets that require delivery of assets within the time frame established by regulation or convention in the marketplace.

財務報告


實際利率法實際利率法乃計算金融資產之攤銷成本及於有關期間分配利息收入之方法。實際利率乃於金融資產之預計年期或適用之較短期間準確折讓預計未來現金收入（包括構成實際利率不可或缺部份之一切已付或已收利率差價費用、交易成本及其他溢價及折讓）之利率。就債務工具而言，收入按實際利率基準確認。

貸款及應收款項貸款及應收款項為具有固定或可確定付款且並無在活躍巿場報價之非衍生金融資產。於初次確認後每個結算日，貸款及應收款項（包括應收賬款及銀行結餘）按實際利率法以攤銷成本減任何減值虧損列賬（請參閱下文有關金融資產減值之會計政策）。

持有至到期投資持有至到期投資乃具有固定或可確定付款及固定到期日之非衍生金融資產，監管局之管理層有意並有能力持有至到期日。於初次確認後每個結算日，持有至到期投資按實際利率法以攤銷成本減去任何已識別減值虧損計算。（請參閱下文有關金融資產減值之會計政策）。

金融資產減值

金融資產於各結算日就出現之減值跡象作出評估。倘有客觀證據顯示，金融資產之預計未來現金流量因金融資產初步確認後發生之一項或多項事件而受到影響，則金融資產出現減值。

Effective interest methodThe effective interest method is a method of calculating the amortised cost of a financial asset and of allocating interest income over the relevant period. The effective interest rate is the rate that exactly discounts estimated future cash receipts (including all fees on points paid or received that form an integral part of the effective interest rate, transaction costs and other premiums or discounts) through the expected life of the financial asset, or, where appropriate, a shorter period to the net carrying amount on initial recognition. Income is recognised on an effective interest basis for debt instruments.

Loans and receivablesLoans and receivables are non-derivative financial assets with fixed or determinable payments that are not quoted in an active market. Subsequent to initial recognition, loans and receivables (including debtors and bank balances) are carried at amortised cost using the effective interest method, less any impairment losses (see accounting policy on impairment of financial assets below).

Held-to-maturity investmentsHeld-to-maturity investments are non-derivative financial assets with fixed or determinable payments and fixed maturities that the EAA's management has the positive intention and ability to hold to maturity. Subsequent to initial recognition, held-to-maturity investments are measured at amortised cost using the effective interest method, less any identified impairment losses (see accounting policy on impairment of financial assets below).

Impairment of financial assetsFinancial assets are assessed for indicators of impairment at the end of the reporting period. Financial assets are impaired where there is objective evidence that, as a result of one or more events that occurred after the initial recognition of the financial asset, the estimated future cash flows of the financial assets have been affected.



就所有其他財務資產而言，減值的客觀證據可包括︰

• 發行人或交易方有重大財政困難；或• 違約，如未能繳付或延遲償還利息或

本金；或• 借款人有可能面臨破產或財務重組；或• 因財政困難而導致某項金融資產失去

活躍市場。

就若干類別之金融資產（如應收賬款）而言，並無個別被評估為已減值之資產隨後將按組合基準評估減值。應收款項組合減值之客觀證據可包括監管局之過往收款經驗、組合內延遲還款至超逾平均信貸期之次數增加，以及與應收款項逾期有關之地方經濟狀況明顯改變。

就按攤銷成本列賬之金融資產而言，倘存在資產減值之客觀證據，則減值虧損於損益確認。減值虧損之計算方法為資產賬面金額與預計未來現金流量按原本實際利率貼現之現值之間之差額。

除應收款項之賬面值通過計提撥備削減外，所有金融資產之賬面值均直接按減值虧損予以削減。撥備賬面值之變動於損益內確認。當一項應收款項被認為不可收回，其將從撥備撇銷。隨後追回以前撇銷之款項計入損益。

For a l l other financia l assets, objective evidence of impairment could include:

• s ign i f ican t f inancia l d i f f icu l ty of the issuer or counterparty; or

• breach of contract, such as default or delinquency in interest or principal payments; or• it becoming probable that the borrower will enter bankruptcy or financial re-organisation; or• the disappearance of an active market for that financial

asset because of financial difficulties.

For certain categories of financial asset, such as debtors, assets that are assessed not to be impaired individually are subsequently assessed for impairment on a collective basis. Objective evidence of impairment for a portfolio of receivables could include the EAA's past experience of collecting payments, an increase in the number of delayed payments in the portfolio past the average credit period, and observab le changes in loca l economic conditions that correlate with default on receivables. For f inancia l assets carr ied a t amor t ised cost, an impairment loss is recognised in profit or loss when there is objective evidence that the asset is impaired, and is measured as the difference between the asset's carrying amount and the present value of the estimated future cash flows discounted at the original effective interest rate. The carrying amount of the financial asset is reduced by the impairment loss directly for all financial assets with the exception of debtors, where the carrying amount is reduced through the use of an allowance account. Changes in the carry ing amoun t of the a l lowance account are recognised in profit or loss. When a debtor is considered uncollectible, it is written off against the allowance account. Subsequent recoveries of amounts previously written off are credi ted to profit or loss.

財務報告


就按攤銷成本計量之金融資產而言，如在隨後某一期間減值虧損之金額減少，而有關減少可客觀地與確認減值虧損後發生之事件相關連，則之前已確認之減值虧損將透過損益撥回，惟該項資產於撥回減值該日之賬面值不超出倘並無確認減值原應有之攤銷成本。

金融負債監管局發行之金融負債乃根據所簽立合約之內容及金融負債定義而分類。

實際利率法實際利率法乃計算金融負債之攤銷成本及於有關期間攤分利息支出之方法。實際利率為實際於該項金融負債之預計年期或適用之較短期間折現預計未來現金付款之利率。

金融負債金融負債（包括應付賬款及應計項目）初期以公平價值計算，並於其後按實際利率法以攤銷成本計算。

終止確認若從資產收取現金流量之權利已到期，或金融資產已轉讓及監管局已將其於金融資產擁有權之絕大部份風險及回報轉移，則金融資產將予終止確認。於終止確認金融資產時，資產賬面值與已收及應收代價同已直接於權益確認之累計損益之總和兩者之差，將於損益賬確認。

For financial assets measured at amortised cost, if, in a subsequent period, the amount of impairment loss decreases and the decrease can be related objectively to an event occurring after the impairment losses was recognised, the previously recognised impairment loss is reversed through profit or loss to the extent that the carrying amount of the asset at the date the impairment is reversed does not exceed what the amortised cost would have been had the impairment not been recognised.

Financial liabilitiesFinancial liabilities are classified according to the substance of the contractual arrangements entered into and the definitions of a financial liability.

Effective interest methodThe effective interest method is a method of calculating the amortised cost of a financial liability and of allocating interest expense over the relevant period. The effective interest rate is the rate that exactly discounts estimated future cash payments through the expected life of the financial liability, or, where appropriate, a shorter period.

Financial liabilitiesFinancial liabilities including creditors and accruals are initially measured at fair value and are subsequently measured at amortised cost, using the effective interest method.

DerecognitionFinancial assets are derecognised when the rights to receive cash flows from the assets expire or, the financial assets are transferred and the EAA has transferred substantially all the risks and rewards of ownership of the financial assets. On derecognition of a financial asset, the difference between the asset's carrying amount and the sum of the consideration received and receivable and the cumulative gain or loss that had been recognised in other comprehensive income is recognised in profit or loss.



金融負債於有關合約所指定之責任獲解除、取消或到期時終止確認。終止確認之金融負債賬面值與已付及應付代價之差額乃於損益確認。

租賃經營租賃付款以直線法，按租期確認為開支，但如另有系統性基準較時間性模式更具代表性，租賃資產之經濟效益據此被消耗除外。

倘訂立經營租賃可以獲得租賃優惠，該等優惠作為負債確認。優惠整體利益以直線法沖減租金開支。然而如另有系統性基準較時間性模式更具代表性，租賃資產之經濟效益據此被消耗除外。

僱員福利僱員休假權利僱員累計年假依應計原則確認。

僱員截至結算日止提供服務所得年假產生的估計負債已作出撥備。

僱員福利 – 公積金保障監管局在香港提供一項強制性公積金計劃(「強積金計劃」)。強積金計劃的資產由獨立受託人管理的基金持有。監管局及其僱員每月均須繳納相等於僱員有關收入5%的供款，上限為港幣1,000元。監管局向強積金計劃的供款於產生時確認為開支。

Financial liabilities are derecognised when the obligation specified in the relevant contract is discharged, cancelled or expires. The difference between the carrying amount of the financial liability derecognised and the consideration paid and payable is recognised in profit or loss.

leasingOperating lease payments are recognised as expenses on a straight-line basis over the lease term, except where another systematic basis is more representative of the time pattern in which economic benefits from the leased asset are consumed.

In the event that lease incentives are received to enter into operating leases, such incentives are recognised as a liability. The aggregate benefit of incentives is recognised as a reduction of rental expense on a straight-line basis, except where another systematic basis is more representative of the time pattern in which economic benefits from the leased asset are consumed.

employee benefitsEmployee leave entitlementsEmployee entitlements to annual leave are recognised when they accrue to employees.

A provision is made for the estimated liability for annual leave as a result of services rendered by employees up to the end of the reporting period .

Employee benefits - provident fund obligationsThe EAA operates a mandatory provident fund scheme ("MPF scheme") in Hong Kong. The assets of the MPF scheme are held in a separate trustee - administered fund. Both the EAA and the employees are required to contribute 5% of the employee's relevant income up to a maximum of HK$1,000 per employee per month. The EAA's contributions to the MPF scheme are expensed as incurred.

財務報告


4. 關鍵會計判斷及估計不確定性的主要來源

於應用附註3所述的監管局會計政策時，管理層作出下列對財務報表中已確認的金額有重大影響的判斷。

貸款及應收款項的呆壞賬撥備貸款及應收款項初期以公平價值計算，其後按實際利率法以攤銷成本計算。倘有資產減值的客觀證據，則估計不可收回金額的適當撥備於收支結算表確認。

決定個別撥備時，監管局認為已實施周詳程序以監控此項風險。決定須否作出呆壞賬撥備時，監管局考慮賬齡狀況、收賬的可能性及估計貼現未來現金流量。特定撥備為不太可能收回的貸款及應收款項作出。倘該等債務人的財務狀況惡化，導致削弱其還款能力，則可能須作出撥備。

5. 牌照費

4. criticAl Accounting JuDgMent AnD Key sources of estiMAtion uncertAinty

In the process of applying the EAA's accounting policies, which are described in note 3, management had made the following judgments that have the most significant effect on the amounts recognised in the financial statements.

Allowances for bad and doubtful debts of debtorsDebtors are measured at initial recognition at fair value, and are subsequently measured at amortised cost using the effective interest method. Appropriate allowances for estimated irrecoverable amounts are recognised in the statement of comprehensive income when there is objective evidence that the asset is impaired.

In determ in ing ind ividua l a l lowances, the EAA has considered that detailed procedures have been in place to monitor this risk. In determining whether allowance for bad and doubtful debts is required, the EAA takes into consideration the ageing status, the likelihood of collection and the estimated discounted future cash flows. Specific allowance is made for debtors that are unlikely to be collected. If the financial conditions of these debtors were to deteriorate, resulting in an impairment of their ability to make payments, allowances may be required.

5. licence fees

6. tAxAtion

The EAA is exempt from Hong Kong Profits Tax under Section 87 of the Inland Revenue Ordinance.

2011港元hK$

2010港元HK$

年度牌照費收入 Total Licence fees 61,958,975 50,679,070

一次過寬免半年牌照費用 Licence fee concession (2,695,671) (27,679,378)

年度收支結算表結餘 Balance as per statement of income and expenditure 59,263,304 22,999,692

6. 稅項

根據《稅務條例》第87條，監管局獲豁免繳納香港利得稅。



7. 物業、設備及器材 7. ProPerty, PlAnt AnD equiPMent

辦公室裝修 Leasehold

improvement

汽車 Motor

vehicles

傢具及裝置 Furniture and

fixtures

器材

Equipment

總計

Total

港元 HK$ 港元 HK$ 港元 HK$ 港元 HK$ 港元 HK$

成本 cost

於2009年4月1日結餘

At 1 April 2009 3,179,804 1,200,371 1,696,070 7,533,752 13,609,997

該年度添置 Additions 355,246 – 13,904 560,858 930,008

註銷 Disposals – – (16,878) (363,517) (380,395)


At 31 March 2010 3,535,050 1,200,371 1,693,096 7,731,093 14,159,610

該年度添置 Additons 59,658 – 18,175 1,121,447 1,199,280

註銷 Disposals – – (3,415) (324,808) (328,223)


At 31 March 2011 3,594,708 1,200,371 1,707,856 8,527,732 15,030,667

折舊 DePreciAtion


At 1 April 2009 3,162,265 1,072,619 1,547,881 6,078,716 11,861,481

該年度提撥Provided for the year 92,818 127,752 76,732 695,021 992,323

註銷Eliminated on disposals – – (16,878) (360,952) (377,830)


At 31 March 2010 3,255,083 1,200,371 1,607,735 6,412,785 12,475,974

該年度提撥Provided for the year 108,627 – 48,450 644,088 801,165

註銷Eliminated on disposals – – (3,415) (315,706) (319,121)


At 31 March 2011 3,363,710 1,200,371 1,652,770 6,741,167 12,958,018

賬面淨值 net booK VAlues


At 31 March 2011 230,998 – 55,086 1,786,565 2,072,649


At 31 March 2010 279,967 – 85,361 1,318,308 1,683,636

財務報告


物業、設備及器材的折舊及攤銷乃以直線法計算，按有關項目的估計使用年限撇銷其成本，所採用的年率如下：

辦公室裝修 20%或根據租約年期 (倘少於五年 )汽車 30%傢具及裝置 20%

器材 20%至30%

8. 持有至到期投資

9. 銀行結餘及現金

銀行結餘及現金包括監管局持有的現金及原本到期日為90至92日且按每年0.01%至每年0.74% (2010年：每年0.01%至每年0.69%)不等的巿場利率計算的短期銀行存款。監管局認為該等資產的賬面金額與其公平價值相若。

10.遞延收入

遞延收入指地產代理為牌照有效期繳交的牌照費用，根據監管局的收入確認政策作遞延處理。

Depreciation are recognised so as to write off the cost of items of property, plant and equipment over their estimated useful lives, using the straight-line method, at the following rates per annum:

Leasehold improvements 20% or over the period of the lease term if it is less than 5 yearsMotor vehicles 30%Furniture and fixtures 20%Equipment 20% to 30%

8. helD-to-MAturity inVestMents

9. bAnK bAlAnces AnD cAsh

Bank balances and cash comprise cash held by the EAA and short-term bank deposits with an original maturity of 90 - 92 days (2010: 90 - 91 days) at prevailing market interest rates ranging from 0.01% per annum to 0.74% per annum (2010: 0.01% per annum to 0.69% per annum). The EAA considers that the carrying amounts of these assets approximate their fair values.

10. DeferreD incoMe

Deferred income represents licence fees received from estate agents for a validity period, which are deferred according to the EAA's income recognition policy.

2011港元hK$

2010港元HK$

港元存款證 Certificate of deposit 12,077,568 8,106,168

就申報目的之分析：流動非流動

Analysed for reporting purposes as: Current Non-current

12,077,568

–

–

8,106,168



11.已收牌照申請款項

該等款項指地產代理連同牌照申請一併繳交，並於結算日仍在處理中的款項。

12.資本承擔

13.營業租約承擔

於結算日，監管局就租用樓宇的不可終止營業租約項下須於未來支付的最低租約款項承擔如下：

營業租約承擔指監管局就其若干辦公室樓宇的應付租金。租約平均議定期為三年。

11. licence APPlicAtions receiVeD

These represent monies paid by estate agents together with the applications for the licences which were still being processed at the end of the reporting period.

12. cAPitAl coMMitMents

13. oPerAting leAse coMMitMents

At the end of the repor t ing period, the EAA had commitments for future minimum lease payments under non-cancellable operating leases in respect of rented premises which fall due as follows:

Operating lease payments represent rentals payable by the EAA for certain of its office premises. Leases are negotiated for and rentals are fixed for an average term of three years.

2011港元hK$

2010港元HK$

一年內 Within one year 5,774,160 5,774,160

第二年至第五年內 (首尾兩年包括在內 )

In the second to fifth year inclusive3,368,260 9,142,420

9,142,420 14,916,580

2011港元hK$

2010港元HK$

已簽約但未於財務報表撥備的收購物業、設備及器材的資本支出

Capital expenditure in respect of the acquisition of property, plant and equipment contracted for but not provided in the financial statements – 180,000

已授權但未簽約的收購物業、設備及器材的資本支出

Capital expenditure in respect of the acquisition of property, plant and equipment authorised but not contacted for 2,277,062 3,624,062

2,277,062 3,804,062

財務報告


14.資本風險管理

監管局的資本主要由其註冊成立以來的累積資金構成，監管局管理資本以確保其持續經營為目的，以促進地產代理的專業操守及提高從業員的專業水平。

監管局定期審核並管理其資本，以確保備有充裕的資本支持經營及資本需求。監管局對產生的資本盈餘實行零攤派政策。所有資本盈餘轉入累積資金，以應付未來經營的需求。地產代理每年須向監管局繳付牌費。

監管局定期檢討增加牌照費的需要，確保妥善切合經營需求。

15. 金融工具 a. 金融工具類別

b. 金融風險管理目標及政策監管局之主要金融工具包括持有至到期

投資、應收賬款、銀行結餘及應付賬款及應計項目。該等金融工具詳情於各自之附註披露。該等金融工具之相關風險包括市場風險（包括利率風險）、信貸風險及流動資金風險。管理層管理及監控該等風險，以確保及時有效地實行適當措施。

14, cAPitAl risK MAnAgeMent

The EAA's capital comprises primarily the fund accumulated since its incorporation and its objective when managing capital is to ensure that the EAA will be able to continue as a going concern so that it can continue to promote integrity and competence of estate agents.

The EAA regularly reviews and manages its capital to ensure adequacy for both the operational and capital needs. The EAA operates a zero distribution policy with regard to surpluses generated. All surpluses are transferred to the cumulative fund for future operational needs. The EAA charges an annual licence fees on the estate agent.

The EAA regularly reviews the need to increase licence fees to ensure operational needs are fully covered.

15. finAnciAl instruMents a. categories of financial instruments

b. financial risk management objectives and policies The EAA's major financial instruments include held-

to -ma turi ty investmen ts, deb tors, bank ba lances and creditors and accruals. Details of the financial instruments are disclosed in respective notes. The risks associated with these financial instruments include market risk (including interest rate risk), credit risk and liquidity risk. The management manages and monitors these exposures to ensure that appropriate measures are implemented in timely and effective manner.

2011港元hK$

2010港元HK$

金融資產： financial assets:

貸款及應收款項 (包括現金及現金等價物 )

Loans and receivables (including cash and cash equivalents) 131,573,390 113,640,419

持有至到期投資 Held-to-maturity investments 12,077,568 8,106,168

金融負債 : financial liabilities:

以攤銷成本計值之金融負債 Amortised costs 7,148,679 4,945,430



市場風險現金流量利率風險監管局承擔有息金融資產之利率改變所帶來之現金流量利率風險。有息金融資產主要為銀行及外匯基金債券結餘，全屬短期性質。因此，未來任何利率變動均不會對監管局之業績造成重大影響。

監管局承擔之公平價值利率風險源於持有至到期含固定年利率之投資。由於監管局有定期監察及在有需要時作出行動應對公平價值利率之風險變化，故此風險變化不會對監管局構成影響。

信貸風險信貸風險指因對方未履行合約責任而致使監管局遭受財政損失之風險。監管局一直跟進因對方而承擔之信貸風險，從而對其進行監控及審核。

為了將信貸風險降至最低，監管局於每個結算日就應收款項之可收回金額進行檢討，以確保為不可收回金額作出足夠減值虧損撥備。就此而言，監管局認為其信貸風險已大幅降低。

就流動基金而言，由於對方為高度信貸評級之銀行，故信貸風險有限。

流動資金風險監管局管理層對流動資金風險負有最終管理責任，彼等已就監管局之短期、中期及長期基金及流動資金管理要求設立合適之流動資金風險管理框架。監管局管理層維持足夠儲備並持續監控預測及實際現金流量，以管理流動資金風險。

Market riskCash flow interest rate riskThe EAA is exposed to cash flow interest rate risk through the impact of rate changes on interest bearing financial assets. Interest bearing financial assets are mainly balances with banks which are all short term in nature. Therefore, any future variation in interest rates will not have a significant impact on the results of the EAA.

The EAA's fair value interest rate risk relates primarily to the held-to-maturity investments which carried fixed interest rate. The fair value interest rate risk is limited as the EAA monitors the fair value interest rate risk exposures and will take action should the need arises.

credit riskCredit risk refers to the risk that the counterparty will default on its contractual obligations resulting in financial loss to the EAA. The EAA's exposure of its counter parties are continuously monitored, received and approved.

In order to minimise the credit risk, the EAA reviews the recoverable amount of the receivables at the end of each reporting period to ensure that adequate impairment losses are made for irrecoverable amounts. In this regard, the EAA considers that the EAA's credit risk is significantly reduced.

The credit risk on liquid funds is limited because the counterparties are banks with good reputation.

liquidity riskUltimate responsibility for liquidity risk management rests with the management of the EAA, which has built an appropriate liquidity risk management framework for the management of the EAA's short, medium and long-term funding and liquidity management requirements. The management of the EAA manages liquidity risk by maintaining adequate reserves and continuously monitors the forecast and actual cash flows.

財務報告


流動資金表下表詳述監管局非衍生金融負債之剩餘合約年期。該表乃根據於監管局可能被要求付款之最早日期之金融負債未貼現現金流量編製。

c. 公平價值金融資產及金融負債之公平價值乃根據

一般公認之定價模型釐定。定價模型是採用可觀察得到之現有市場交易價格及類似工具之交易商報價，以貼現現金流量分析為基礎。

監管局認為，財務報表中按攤銷成本記錄之金融資產及金融負債賬面金額與其公平價值相若。

Liquidity tableThe following table details the EAA's remaining contractual maturity for its non-derivative financial liabilities on the agreed repayment terms. The table has been drawn up based on the undiscounted cash flows of financial liabilities based on the earliest date on which the EAA can be required to pay.

c. fair values The fair values of financial assets and financial liabilities

are determined in accordance with generally accepted pricing models based on discounted cash flow analysis.

The EAA considers tha t the carrying amoun ts of financial assets and financial liabilities recorded at amortised cost in the financial statements approximate their corresponding fair values.

加權平均實際利率 0至30天 31至60天

未貼現現金流量總額賬面值

Weighted average effective

interest rate 0 - 30 days 31 - 60 days

total discounted cash flows

carrying amount

% 港元 HK$ 港元 HK$ 港元 HK$ 港元 HK$

2011年應付賬款及應計項目

2011 Creditors and accruals – 7,148,679 – 7,148,679 96,111,160

2010年應付賬款及應計項目

2010 Creditors and accruals – 4,926,441 18,989 4,945,430 4,945,430

年報 Annual Report 2010/11 - Estate Agents Authority · agency trade in Hong Kong, promote...

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