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
1.	Hong Kong Monetary Authority		4 Dec 2023
2.	Accounting and Financial Reporting Council	Memorandum of Understanding between the Securities and Futures Commission and the Financial Reporting Council	24 Feb 2021
2.	Accounting and Financial Reporting Council	Previous memorandum	12 Nov 2007
3.	Insurance Authority	Memorandum of Understanding between the Securities and Futures Commission and the Insurance Authority	28 Sep 2020
3.	Insurance Authority	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
7.	Financial Dispute Resolution Centre Limited		15 Nov 2017
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		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
19.	The Stock Exchange of Hong Kong Limited		22 Aug 2001
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
20.	Hong Kong Exchanges and Clearing Limited	Amendments Amendments	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