Securities & Futures Commission of Hong Kong

List of recognised jurisdiction schemes & inspection regimes

Recognised jurisdiction schemes

With reference to 1.2 of the Code on Unit Trusts and Mutual Funds (UT Code), the SFC may accept that some schemes already comply in substance with certain provisions of the UT Code by virtue of prior authorization in a regulated jurisdiction. It currently recognises schemes that are regulated in the jurisdictions set out on the list below.

This list of recognized jurisdictions is subject to review and update by the SFC from time to time in view of the legal, regulatory and other developments in each recognized jurisdiction and internationally, as well as the level of regulatory oversight, supervision, co-operation and assistance of the primary regulator and reciprocity accorded to the SFC with respect to the schemes it regulates.

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Inspection regimes

The following jurisdictions for investment management firms are regarded as subject to an acceptable inspection regime for the purposes of 5.1 of the Code on Unit Trusts and Mutual Funds. Applicants should note that this list is not exhaustive and does not imply that other jurisdictions are necessarily unacceptable. 

This list of acceptable inspection regimes is subject to review and update by the SFC from time to time in view of the legal, regulatory and other developments in each acceptable inspection regime and internationally, as well as the level of regulatory oversight, supervision, co-operation and assistance of the primary regulator and reciprocity accorded to the SFC with respect to the investment management firms it regulates. 

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3.3791 s