证监会

可资比较的场外衍生工具司法管辖区名单

《证券及期货事务监察委员会持牌人或注册人操守准则》(《操守准则》)第20.2至20.4段所订明的规定,旨在处理与集团联属公司进行场外衍生工具交易所引致的操守风险。《操守准则》因应集团联属公司或经介绍予集团联属公司的客户是否持牌法团、认可财务机构或在可资比较的场外衍生工具司法管辖区内受到如同场外衍生工具交易商或银行般类似规管的法团(受类似规管的法团),提供了不同的处理方法。

根据《操守准则》第20.5段,证券及期货事务监察委员会(证监会)将会发出一份可资比较的场外衍生工具司法管辖区名单。然而,证监会留意到,不同司法管辖区实施场外衍生工具市场改革的情况有别。基于这个理由,及为了利便持牌法团就遵守相关规定作好准备,我们现阶段发出以下当作可资比较的场外衍生工具司法管辖区名单1

该名单指明其场外衍生工具交易活动监管框架被当作与香港的监管框架相若的各司法管辖区的监管机构。就《操守准则》第20.2至20.4段的目的而言,如一家法团就其场外衍生工具交易活动作为场外衍生工具交易商或银行受到该名单所指明的监管机构所规管,而规管方式与持牌法团或认可财务机构(视属何情况而定)在香港受到规管的方式相若,该法团便会被视为受类似规管的法团。

司法管辖区
监管机构
澳大利亚 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
内地 中国银行保险监督管理委员会
中国证券监督管理委员会
法国 Autorité de Contrôle Prudentiel et de Résolution
Autorité des marchés financiers
德国 Federal Financial Supervisory Authority
意大利 Bank of Italy
Commissione Nazionale per le Società e la Borsa
日本 Financial Services Agency
荷兰 De Nederlandsche Bank
The Dutch Authority for the Financial Markets
大韩民国 Financial Supervisory Service
Financial Services Commission
新加坡 Monetary Authority of Singapore
西班牙 Banco de España
Comisión Nacional del Mercado de Valores
南非 South African Reserve Bank
Financial Sector Conduct Authority
瑞士 Swiss Financial Market Supervisory Authority
英国 Prudential Regulation Authority
Financial Conduct Authority
美国 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

1证监会因应各司法管辖区及国际的法律、监管及其他方面的发展情况,会不时检讨及更新该名单。若某个当作可资比较的场外衍生工具司法管辖区被豁除在最终名单外,受影响的持牌法团将获给予足够时间作出必要的安排,以遵守相关的规定。

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.

3.9387 s