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监管合作

国际证监会组织《经优化多边谅解备忘录》

国际证监会组织在2017年3月批准有关就跨境执法合作展开谘询、合作及信息交流的《经优化多边谅解备忘录》,而该备忘录是以现行《多边谅解备忘录》作为基础的。

国际证监会组织《经优化多边谅解备忘录》为已签署这份备忘录的国际证监会组织成员提供更多途径,以便在日益复杂、互联互通及以科技带动的全球金融市场上,应付打击金融失当行为所带来的挑战。

根据《经优化多边谅解备忘录》的互助和信息交换框架,证券监管机构可以取得及分享审计工作底稿、电话和互联网纪录,强制相关人士出席会见,以及提供有关冻结资产的指引。

若任何签署机构拟继续使用《多边谅解备忘录》,有关备忘录将依然有效。国际证监会组织的目标是所有《多边谅解备忘录》的签署机构最终能过渡至《经优化多边谅解备忘录》。

已签署国际证监会组织《经优化多边谅解备忘录》的监管机构如下:

《经优化多边谅解备忘录》附录A.1所列出的签署机构可以取得及分享电话和互联网纪录、审计工作底稿,强制相关人士出席会见,以及提供有关冻结资产的指引。

《经优化多边谅解备忘录》附录A.2所列出的签署机构可以取得及分享审计工作底稿,强制相关人士出席会见,以及提供有关冻结资产的指引。

国际证监会组织《经优化多边谅解备忘录》附录A.1的签署机构


国际证监会组织《经优化多边谅解备忘录》附录
A.2的签署机构


最后更新日期: 2020年3月13日

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