證監會

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

免责声明 Disclaimer statement

香港证券及期货事务监察委员会(简称证监会)于本网站免费提供一套繁简字体转换软件(该软件)。证监会允许本网站的使用者利用该软件将本网站内容由繁体中文版转换成为简体中文版。证监会不会就该软件欠妥之处承担任何法律责任,亦不会就其品质及性能作出任何担保;尤其是在无损前述的一般性的原则下,证监会无需就该软件对某用途的恰当性、其品质或可商售性承担任何该等明示或隐含的、法定或非法定的法律责任。

证监会明确陈述,本会并无核准或认可本网站内容的简体中文版,以及对于本网站内容的简体中文版不承担任何责任或法律责任(不论是何种及如何引致的责任或法律责任)。证监会同时明确陈述,本网站的简体中文版纯粹是利用该软件将繁体中文版内的中文字体转换成简体中文字而得来的,当中并不涉及香港特区与内地的用词及语句的对应转换。对于该简体中文版的内容的恰当性,证监会不承担任何责任或法律责任。在任何情况下,使用者都不应视本网站内容的简体中文版为其繁体中文版的对应版本。使用者应该参照该简体中文版的已发布繁体中文版来核实该简体中文版的网站内容,并且应该在依赖本网站内容的简体中文版或根据其内容行事之前,就该版本的内容的法律效力、有效性和效果自费征询独立的法律意见。

如果你将证监会网站的简体中文版的内容或网址传送予第三者,你承诺会将本免责声明同时传送予该第三者,并保证该第三者在浏览本网站的简体中文版的内容之前同意接纳本免责声明。

The Securities and Futures Commission (SFC) provides a character-based conversion software (this Software) free of charge in this website. Permission is granted for users to use this Software to convert the web content from traditional Chinese character version to simplified Chinese character version. The SFC undertakes no liability for defects in this Software and gives no warranty in relation to its quality and performance and in particular, but without prejudice to the generality of the foregoing, the SFC shall have no such liability regarding the fitness for purpose, quality or merchantability of this Software, whether express or implied, statutory or otherwise.

The SFC expressly states that it has not approved or endorsed the simplified Chinese character version of the web content and the SFC accepts no responsibility or liability (whatsoever and howsoever caused) for such simplified Chinese character version of the web content. The SFC also expressly states that this simplified Chinese character version of the website is solely established by converting the characters in the traditional Chinese character version via this Software, which involves no corresponding conversion between the terms and expressions used in the Hong Kong SAR and Mainland China. The SFC accepts no responsibility or liability for the fitness of the content of the simplified Chinese character version. Under no circumstances should users treat the simplified Chinese character version of the web content as an equivalent of the traditional Chinese character version thereof. Users should verify the simplified Chinese character version of the web content by making reference to the published traditional Chinese character version thereof, and should at their own costs seek independent legal advice on the legal status, validity and effect of the simplified Chinese character version of the web content before relying or acting upon it.

If you transmit the content of this simplified Chinese character version website or its URL to any third party, you agree to forward this Disclaimer Statement at the same time to the third party and guarantee that the third party agrees to accept this Disclaimer Statement before browsing the content of the simplified Chinese character version of this website.

3.6380 s