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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. Memorandum of Understanding among the Insurance Authority, the Monetary Authority and the 鶹ý 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
2.
Memorandum of Understanding between the 鶹ý and the Financial Reporting Council

24 Feb 2021

Previous memorandum
12 Nov 2007
3. Memorandum of Understanding between the 鶹ý and the Insurance Authority

28 Sep 2020

Previous memorandum
20 Dec 2005 
4.

Memorandum of Understanding between the 鶹ý and the Competition Commission

16 Apr 2020

5.

Memorandum of Understanding between the 鶹ý and the Hong Kong Monetary Authority

3 Sept 2019

6.

Memorandum of Understanding among the Independent Commission Against Corruption and 鶹ý

19 Aug 2019

7.

Memorandum of Understanding among the 鶹ý, Hong Kong Monetary Authority and Financial Dispute Resolution Centre Limited

15 Nov 2017

8.

Memorandum of Understanding between the Hong Kong Police Force of the Hong Kong Special Administrative Region and the 鶹ý

25 Aug 2017

9.

Memorandum of Understanding between the Department of Justice of the Hong Kong Special Administrative Region and the 鶹ý

4 Mar 2016

10.

Memorandum of Understanding Concerning Implementation of the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance(Cap 615)

30 Apr 2014

11.

Memorandum of Understanding Concerning the Regulation of Regulated Persons with respect to Registered Schemes under the Mandatory Provident Fund Schemes Ordinance

28 May 2013

12.

Memorandum of Understanding between Hong Kong Deposit Protection Board and 鶹ý and Investor Compensation Company Limited

29 Sep 2022

 Previous memorandum  9 Jul 2008

13.

Memorandum of Understanding between the 鶹ý and the Hong Kong Monetary Authority

4 Nov 2004

14.

Memorandum of Understanding Concerning the Regulation of MPF Intermediaries

1 Jan 2004

15.

Memorandum of Understanding Concerning the Regulation of Mandatory Provident Fund Products

23 Apr 2003

16.

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 鶹ý 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.

Memorandum of Understanding between the 鶹ý and the Hong Kong Monetary Authority

12 Dec 2002

19.

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.

 

 

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.

Memorandum of Understanding Concerning the Regulation of Mandatory Provident Fund Products

30 Jun 1999

22.

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

23 Oct 1995


Last update: 11 Dec 2023

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