Regulatory Framework and Rules
Other Documents Related to the Regulatory Framework

Memorandum of Understanding between The Stock Exchange of Hong Kong Limited and The Financial Reporting Council, dated 27 December 2007

 

Outline of the current roles of the Exchange and the SFC in Listing Regulation, dated 31 March 2005
 

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, dated 1 April 2003

Memorandum Of Understanding Governing Listing Matters Between Securities And Futures Commission And The Stock Exchange Of Hong Kong Limited, dated 28 January 2003

Memorandum Of Understanding For the Listing Of Hong Kong Exchanges And Clearing Limited On The Stock Exchange Of Hong Kong Limited Between Securities And Futures Commission, Hong Kong Exchanges And Clearing Limited And The Stock Exchange Of Hong Kong Limited, dated 22nd August 2001

Memorandum of Understanding between Securities and Futures Commission ("SFC") and Hong Kong Exchanges and Clearing Limited on matters relating to SFC Oversight, Supervision of Exchange Participants and Market Surveillance, dated 20 February 2001

First Supplement To The Memorandum Of Understanding Governing Listing Matters Between Securities And Futures Commission And The Stock Exchange Of Hong Kong Limited, dated 21st August 2000   (Superseded)

Memorandum Of Understanding For The Listing Of Hong Kong Exchanges And Clearing Limited On The Stock Exchange Of Hong Kong Limited Between Securities And Futures Commission, Hong Kong Exchanges And Clearing Limited And The Stock Exchange Of Hong Kong Limited, dated 19th June 2000  (Superseded)

Amended And Restated Memorandum Of Understanding Governing Listing Matters Between Securities And Futures Commission And The Stock Exchange Of Hong Kong Limited, dated 6th March 2000   (Superseded)

Ethics in Practice - A Practical Guide for Financial Practitioners