Transcription of MEMORANDUM OF UNDERSTANDING - cftc.gov
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MEMORANDUM OF UNDERSTANDING SECURITIES AND FUTURES COMMISSION :11~&!V!~J~t~fHtt United States Commodity Futures Trading Securities and Futures Commission Commission COOPERATION AND THE EXCHANGE OF INFORMATION RELATED TO THE SUPERVISION OF CROSS-BORDER COVERED ENTITIES 21 December 2015 MEMORANDUM OF UNDERSTANDING CONCERNING COOPERATION AND THE EXCHANGE OF INFORMATION RELATED TO THE SUPERVISION OF CROSS-BORDER COVERED ENTITIES In view ofthe growing globalization ofthe world's financial markets and the increase in cross border operations and activities ofregulated entities, the United States Commodity Futures Trading Commission and the Hong Kong Securities and Futures Commission Goinlly, the "Authorities") have reached this MEMORANDUM ofUnderstanding ("MOU") regarding cooperation and the exchange ofinformation in the supervision and oversight ofregulated entities that operate on a cross-border basis in both the United States and Hong Kong.
MEMORANDUM OF UNDERSTANDING CONCERNING COOPERATION AND THE EXCHANGE OF INFORMATION RELATED TO THE SUPERVISION ... Covered Entity including, for example, financial resources, risk management, internal control procedures, and non-public corporate information. license or
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