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 statutory and frontline regulators work together, along with self-regulatory organisations where appropriate, 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.

Competition Commission

Memorandum of Understanding between the Securities and Futures Commission and the Competition Commission

16 Apr 2020

2.

Hong Kong Monetary Authority

Memorandum of Understanding between the Securities and Futures Commission and the Hong Kong Monetary Authority

3 Sept 2019

3.

Independent Commission Against Corruption

Memorandum of Understanding among the Independent Commission Against Corruption and Securities and Futures Commission

19 Aug 2019

4.

Hong Kong Monetary Authority

Memorandum of Understanding among the Securities and Futures Commission, Hong Kong Monetary Authority and Financial Dispute Resolution Centre Limited

15 Nov 2017

Financial Dispute Resolution Centre Limited

5.

Hong Kong Police Force

Memorandum of Understanding between the Hong Kong Police Force of the Hong Kong Special Administrative Region and the Securities and Futures Commission

25 Aug 2017

6.

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

7.

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

8.

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

9.

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

10.

Financial Reporting Council

Memorandum of Understanding between Securities and Futures Commission and the Financial Reporting Council

12 Nov 2007

11.

Insurance Authority

Memorandum of Understanding between Securities and Futures Commission and Insurance Authority Hong Kong

20 Dec 2005

12.

Hong Kong Monetary Authority

Memorandum of Understanding between the Securities and Futures Commission and the Hong Kong Monetary Authority

4 Nov 2004

13.

Hong Kong Monetary Authority

Memorandum of Understanding Concerning the Regulation of MPF Intermediaries

1 Jan 2004

Insurance Authority

Mandatory Provident Fund Schemes Authority

14.

Mandatory Provident Fund Schemes Authority

Memorandum of Understanding Concerning the Regulation of Mandatory Provident Fund Products

23 Apr 2003

15.

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

16.

The Stock Exchange of Hong Kong Limited

Memorandum of Understanding Governing Listing Matters

28 Jan 2003

First Addendum to the Memorandum of Understanding Governing Listing Matters

9 Mar 2018

17.

Hong Kong Monetary Authority

Memorandum of Understanding between the Securities and Futures Commission and the Hong Kong Monetary Authority

12 Dec 2002

18.

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

19.

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

23 Jan 2007
24 Sep 2007

20.

Mandatory Provident Fund Schemes Authority

Memorandum of Understanding Concerning the Regulation of Mandatory Provident Fund Products

30 Jun 1999

21.

Hong Kong Monetary Authority

Memorandum of Understanding on Cooperation in respect of Supervision of Entities or Financial Groups

23 Oct 1995

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