Securities & Futures Commission of Hong Kong

Local

Hong Kong's financial markets are large and complex. While different authorities have specific roles and mandates, the relevant statutory and frontline regulators along with, where appropriate, self-regulatory organisations, join forces to address key cross-market issues.

To ensure a consistent regulatory approach, we have entered into the following memoranda of understanding (MOU) with local organisations:

  Local Counterparties MOU Date
1. Department of Justice Memorandum of Understanding between the Department of Justice of the Hong Kong Special Administrative Region and the Securities and Futures Commission 4 Mar 2016
2. Customs and Excise Department Memorandum of Understanding Concerning Implementation of the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (Cap 615)  30 Apr 2014
Insurance Authority
Hong Kong Monetary Authority
3. Insurance Authority Memorandum of Understanding Concerning the Regulation of Regulated Persons with respect to Registered Schemes under the Mandatory Provident Fund Schemes Ordinance 28 May 2013
Hong Kong Monetary Authority
Mandatory Provident Fund Schemes Authority
4. Hong Kong Monetary Authority Memorandum of Understanding among the Securities and Futures Commission, Hong Kong Monetary Authority and Financial Dispute Resolution Centre Limited 26 Jun 2012
Financial Dispute Resolution Centre Limited
5. Hong Kong Deposit Protection Board Memorandum of Understanding between Hong Kong Deposit Protection Board and Securities and Futures Commission and Investor Compensation Company Limited 9 Jul 2008
Investor Compensation Company Limited
6. Financial Reporting Council Memorandum of Understanding between Securities and Futures Commission and the Financial Reporting Council 12 Nov 2007
7. Insurance Authority Memorandum of Understanding between Securities and Futures Commission and Insurance Authority Hong Kong 20 Dec 2005
8. Hong Kong Monetary Authority Memorandum of Understanding between the Securities and Futures Commission and the Hong Kong Monetary Authority 4 Nov 2004
9. Hong Kong Monetary Authority Memorandum of Understanding Concerning the Regulation of MPF Intermediaries 1 Jan 2004
Insurance Authority
Mandatory Provident Fund Schemes Authority
10. Mandatory Provident Fund Schemes Authority Memorandum of Understanding Concerning the Regulation of Mandatory Provident Fund Products 23 Apr 2003
11. Hong Kong Exchanges and Clearing Limited Agreed Interpretation of Terms in the Memorandum of Understanding between the SFC and HKEx on Matters Relating to SFC Oversight, Supervision of Exchange Participants and Market Surveillance for the purposes of the commencement of the Securities and Futures Ordinance 11 Apr 2003
12. The Stock Exchange of Hong Kong Limited Memorandum of Understanding Governing Listing Matters 28 Jan 2003
13. Hong Kong Monetary Authority Memorandum of Understanding between the Securities and Futures Commission and the Hong Kong Monetary Authority 12 Dec 2002
14. Hong Kong Exchanges and Clearing Limited Memorandum of Understanding for the Listing of Hong Kong Exchanges and Clearing Limited on The Stock Exchange of Hong Kong Limited 22 Aug 2001
The Stock Exchange of Hong Kong Limited
15. Hong Kong Exchanges and Clearing Limited 

 

 

Memorandum of Understanding on Matters Relating to SFC Oversight, Supervision of Exchange Participants and Market Surveillance

20 Feb 2001

Amendments
Amendments

23 Jan 2007
24 Sep 2007

16. Mandatory Provident Fund Schemes Authority Memorandum of Understanding Concerning the Regulation of Mandatory Provident Fund Products 30 Jun 1999
17. Hong Kong Monetary Authority Memorandum of Understanding on Cooperation in respect of Supervision of Entities or Financial Groups 23 Oct 1995

Note:
Documents available are published with the consent of all signatories.

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