证监会

可资比较的场外衍生工具司法管辖区名单

依据《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20.5段,证监会已将下列司法管辖区定为可资比较的场外衍生工具司法管辖区:澳大利亚、加拿大、内地、法国、德国、爱尔兰、意大利、日本、荷兰、大韩民国、新加坡、西班牙、南非、瑞士、英国及美国。

就《操守准则》第20.2至20.4段的目的而言,如一家法团在可资比较的场外衍生工具司法管辖区内,就其场外衍生工具交易活动受到以下就该司法管辖区列出的监管机构所规管,证监会便会将该法团视为作为场外衍生工具交易商或银行受到规管,而其受规管方式与持牌法团或认可财务机构(视属何情况而定)的场外衍生工具交易活动在香港受到规管的方式相若:

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 (AMF)
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 (ACPR)
Autorité des marchés financiers (AMF)
德国 Federal Financial Supervisory Authority (BaFin)
爱尔兰 Central Bank of Ireland
意大利 Bank of Italy
Commissione Nazionale per le Società e la Borsa (CONSOB)
日本 Financial Services Agency
荷兰 De Nederlandsche Bank (DNB)
The Dutch Authority for the Financial Markets
大韩民国 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

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