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  5. 可資比較的場外衍生工具司法管轄區名單
可資比較的場外衍生工具司法管轄區名單

依據《證券及期貨事務監察委員會持牌人或註冊人操守準則》（《操守準則》）第20.5段，證監會已將下列司法管轄區定為可資比較的場外衍生工具司法管轄區：澳大利亞、加拿大、內地、法國、德國、愛爾蘭、意大利、日本、荷蘭、大韓民國、新加坡、西班牙、南非、瑞士、英國及美國。

就《操守準則》第20.2至20.4段的目的而言，如一家法團在可資比較的場外衍生工具司法管轄區內，就其場外衍生工具交易活動受到以下就該司法管轄區列出的監管機構所規管，證監會便會將該法團視為作為場外衍生工具交易商或銀行受到規管，而其受規管方式與持牌法團或認可財務機構（視屬何情況而定）的場外衍生工具交易活動在香港受到規管的方式相若：

司法管轄區
 監管機構
澳大利亞 Australian Prudential Regulation Authority
Australian Securities and Investments Commission
加拿大 Office of the Superintendent of Financial Institutions
Ontario Securities Commission
Autorité des marchés financiers (AMF)
內地 中國銀行保險監督管理委員會
中國證券監督管理委員會
法國 Autorité de Contrôle Prudentiel et de Résolution (ACPR)
Autorité des marchés financiers(AMF)
德國 Federal Financial Supervisory Authority (BaFin)
愛爾蘭 Central Bank of Ireland
意大利 Bank of Italy
Commissione Nazionale per le Società e la Borsa (CONSOB)
日本 Financial Services Agency
荷蘭 De Nederlandsche Bank (DNB)
The Dutch Authority for the Financial Markets
大韓民國 Financial Supervisory Service (FSS)
Financial Services Commission (FSC)
新加坡 Monetary Authority of Singapore
西班牙 Banco de España (BdE)
Comisión Nacional del Mercado de Valores (CNMV)
南非 South African Reserve Bank
Financial Sector Conduct Authority
瑞士 Swiss Financial Market Supervisory Authority (FINMA)
英國 Prudential Regulation Authority
Financial Conduct Authority
美國 The Board of Governors of the Federal Reserve System
Federal Deposit Insurance Corporation
Office of the Comptroller of the Currency
Commodity Futures Trading Commission
Securities and Exchange Commission

最後更新日期: 2019年5月17日

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