Facebook   LinkedIn   WeChat   YouTube Alert List

Regulatory collaboration

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. Insurance Authority Memorandum of Understanding among the Insurance Authority, the Monetary Authority and the Securities and Futures Commission as Resolution Authorities* 
 
*This MoU was entered into by the Commission in its capacity as a resolution authority under the Financial Institutions (Resolution) Ordinance (Chapter 628 of the Laws of Hong Kong).
 
4 Dec 2023
Hong Kong Monetary Authority
2. Accounting and Financial Reporting Council
Memorandum of Understanding between the Securities and Futures Commission and the Financial Reporting Council

24 Feb 2021

Previous memorandum
12 Nov 2007
3. Insurance Authority Memorandum of Understanding between the Securities and Futures Commission and the Insurance Authority

28 Sep 2020

Previous memorandum
20 Dec 2005 
4.

Competition Commission

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

16 Apr 2020

5.

Hong Kong Monetary Authority

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

3 Sept 2019

6.

Independent Commission Against Corruption

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

19 Aug 2019

7.

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

8.

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

9.

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

10.

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

11.

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

12.

Hong Kong Deposit Protection Board

Memorandum of Understanding between Hong Kong Deposit Protection Board and Securities and Futures Commission and Investor Compensation Company Limited

29 Sep 2022

Investor Compensation Company Limited

 Previous memorandum  9 Jul 2008

13.

Hong Kong Monetary Authority

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

4 Nov 2004

14.

Hong Kong Monetary Authority

Memorandum of Understanding Concerning the Regulation of MPF Intermediaries

1 Jan 2004

Insurance Authority

Mandatory Provident Fund Schemes Authority

15.

Mandatory Provident Fund Schemes Authority

Memorandum of Understanding Concerning the Regulation of Mandatory Provident Fund Products

23 Apr 2003

16.

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

17.

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

Second Addendum to the Memorandum of Understanding Governing Listing Matters
28 Jun 2023

18.

Hong Kong Monetary Authority

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

12 Dec 2002

19.

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

20.

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

21.

Mandatory Provident Fund Schemes Authority

Memorandum of Understanding Concerning the Regulation of Mandatory Provident Fund Products

30 Jun 1999

22.

Hong Kong Monetary Authority

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

23 Oct 1995


Last update: 11 Dec 2023

We use cookies to improve the website performance and user experience. If you continue to use this website, you are agreeing to their uses. Learn more about our privacy policy.