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List of MoUs Signed Between CSRC and Foreign Securities (Futures) Regulatory Authorities (as of December 2020)
25-02-2021

No. 

Country/Region 

Authority 

Date 

Name of MoU 

Note 

1 

Abu Dhabi 

Abu Dhabi Global Market Financial Service Regulatory Authority 

2016.7.14 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

2 

Argentina 

Comisión Nacional de Valores of Argentina 

2006.9.20 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

3 

Australia 

Australian Securities Commission 

1996.5.23 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

4 

Austria 

Austrian Financial Market Authority 

2008.10.30 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

5 

Azerbaijan 

State Committee for Securities of the Republic of Azerbaijan 

2015.5.19 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

6 

Belarus 

Ministry of Finance of the Republic of Belarus 

2014.1.20 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

7 

Belgium 

Belgium Banking and Finance Commission 

2002.11.26 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

8 

Brazil 

Comissão de Valores Mobiliários 

1997.11.13 

Memorandum of Understanding 

  

9 

Brunei 

Autoriti Monetari Brunei Darussalam 

2014.2.17 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

10 

Cambodia 

Securities and Exchange Commission of Cambodia 

2019.6.21 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

11 

Canada 

Participating Members of Canadian Securities Administrators 

2003.3.21 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

12 

Cayman Islands 

Cayman Islands Monetary Authority 

2018.11.5 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

13 

Chile 

Superintendence of Securities and Insurance of Chile 

2017.5.13 

MoU Regarding Securities Regulatory Cooperation 

  

14 

Cyprus 

Cyprus Securities and Exchange Commission 

2012.5.17 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

15 

Dubai 

Dubai Financial Services Authority 

2008.9.27 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

16 

Egypt 

Capital Market Authority of Egypt 

2000.6.22 

MoU Regarding Securities Regulatory Cooperation 

  

17 

France 

Commission des Opérations de Bourse 

1998.3.4 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

Autorité des Marchés Financiers 

2006.12.7 

Letter of Joint Cooperation

  

Autorité des Marchés Financiers 

2018.12.7 

Joint letter of cooperation

  

Autorité des Marchés Financiers 

2019.3.25 

MoU Regarding Cooperation on Innovation in the Financial Sector 

  

18 

Germany 

Bundesanstalt für Finanzdienstleistungsaufsicht 

2019.1.18 

MoU Regarding Securities and Futures Regulatory Cooperation 

This MoU was based on the MoU Regarding Securities Regulatory Cooperation signed by the CSRC and Bundesaufsichtsamt für Den Wertpapierhandel Germany on October 8,1998.

Bundesanstalt für Finanzdienstleistungsaufsicht 

2019.3.18 

Side Letter for Cooperation and Exchange of Information on the Regulation of Derivatives Activities 

  

19 

Gibraltar 

Gibraltar Financial Services Commission 

2020.12.22 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

20 

Greece 

Hellenic Capital Market Commission 

2017.8.31 

MoU Regarding Securities, Futures and Other Investment Products Regulatory Cooperation 

  

21 

Guernsey 

Guernsey Financial Services Commission 

2013.11.18 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

22 

Hong Kong SAR 

Hong Kong Securities and Futures Commission 

1993.6.19 

Memorandum of Regulatory Cooperation 

  

Hong Kong Securities and Futures Commission 

1995.7.4 

Memorandum of Regulatory Cooperation Concerning Futures 

  

Hong Kong Securities and Futures Commission 

2016.11.3 

MoU On strengthening of regulatory and enforcement cooperation under the mutual access between the Mainland and Hong Kong stock markets 

  

Hong Kong Securities and Futures Commission 

2017.12.29 

MoU on Supervisory and Enforcement Cooperation on Matters Concerning Futures 

  

23 

India 

  

Securities and Exchange Board of India 

2006.9.15 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

Forward Markets Commission of India* 

2006.11.21 

MoU Regarding Commodity Futures Regulatory Cooperation 

The Forward Markets Commission of India (FMC) and Securities and Exchange Board of India (SEBI) consolidated in September 2015. The MoU Regarding Commodity Futures Regulatory Cooperation signed between the CSRC and FMC is inherited by the SEBI. 

24 

Indonesia 

Indonesian Capital Market Supervisory Agency 

2003.12.9 

MoU in Relation to Mutual Assistance and Exchange of Information 

  

Indonesian Commodity Futures Trading Regulatory Agency 

2004.10.14 

MoU Regarding Securities Regulatory Cooperation 

  

25 

Iran 

Securities and Exchange Organization of Iran 

2018.6.10 

MoU Regarding Securities, Futures and Other Investment Products Regulatory Cooperation 

  

26 

Ireland 

Irish Financial Service Regulatory Authority 

2008.10.23 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

27 

Isle of Man 

Financial Supervisory Commission of the Isle of Man 

2014.6.9 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

28 

Israel 

Israel Securities Authority 

2011.3.29 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

29 

Italy 

Commissione Nazionale per le Società e la Borsa 

1999.11.3 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

30 

Japan 

  

Ministry of Finance 

1997.3.18 

Memorandum of Understanding 

  

Financial Services Agency 

2018.10.26 

MoU for the Promotion of Securities Markets Cooperation Between China and Japan 

  

31 

Jersey 

Jersey Financial Services Commission 

2014.4.9 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

32 

Jordan 

Jordan Securities Commission 

2006.9.20 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

33 

Kazakhstan 

National Bank of Kazakhstan 

2015.5.13 

MoU in the Field of Securities and Futures Regulatory  Cooperation 

  

Astana Financial Services Authority 

2018.2.9 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

34 

Korea 

Financial Services Commission
Financial Supervisory Commission 

2018.5.28 

MoU Regarding Securities and Futures Regulatory Cooperation 

This MoU was based on the Arrangement Regarding Securities and Futures Regulatory Cooperation signed by the CSRC and Financial Supervisory Commission of the Republic of Korea on June 19, 2001. 

35 

Kuwait 

Kuwait Stock Exchange Committee 

2010.5.5 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

36 

Laos 

Securities and Exchange Commission of Lao PDR 

2011.9.19 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

37 

Liechtenstein 

Financial Market Authority 

2008.1.15 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

38 

Lithuania 

Bank of Lithuania 

2013.9.13 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

39 

Luxembourg 

Commission de Surveillance du Secteur Financier 

2012.5.17 

MoU Regarding Securities and Futures Regulatory Cooperation 

This MoU was based on the MoU Regarding Securities and Futures Regulatory Cooperation signed by the CSRC and Commissariat Aux Bourses Luxembourg on May 18, 1998. 

40 

Macao SAR 

Autoridade Monetária de Macau 

2020.6.30 

MoU Regarding Cooperation 

  

41 

Malaysia 

Securities Commission of Malaysia 

1997.4.18 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

42 

Malta 

Malta Financial Service Authority 

2010.1.26 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

43 

Mongolia 

Financial Regulatory Commission of Mongolia 

2008.1.24 

MoU Regarding Securities Regulatory Cooperation 

  

44 

Netherlands 

Netherlands Authority for the Financial Markets 

2002.11.1 

MoU on Exchange of Information 

  

45 

New Zealand 

New Zealand Securities Commission 

2004.2.20 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

46 

Nigeria 

Nigerian Securities and Exchange Commission 

2005.6.14 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

47 

Norway 

Financial Supervisory Authority of Norway (Kredittilsynet) 

2006.9.26 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

48 

Pakistan 

Securities and Exchange Commission 

2010.12.17 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

49 

Poland 

Polish Financial Supervisory Authority 

2015.3.23 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

50 

Portugal 

Portugal Securities Market Commission 

2004.10.26 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

51 

Qatar 

Qatar Financial Markets Authority 

2011.4.7 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

52 

Romania 

Romania National Securities Commission 

2002.6.27 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

53 

Russia 

Bank of Russia 

2016.6.25 

MoU Regarding Securities and Futures Regulatory Cooperation 

This MoU was based on the MoU Regarding Securities and Futures Regulatory Cooperation signed by the CSRC and the Federal Financial Markets Service of Russia on August 8, 2008. 

54 

Singapore 

  

Monetary Authority of Singapore 

1995.11.30 

MoU on Cooperation and Exchange of Information on Regulation of Securities and Futures Activities 

  

Monetary Authority of  Singapore 

2018.11.12 

MoU for Cooperation and Exchange of Information on Regulation of Derivatives Activities 

  

55 

South Africa 

Financial Service Board 

2002.10.29 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

56 

Spain 

Spanish National Securities Market Commission 

2009.10.6 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

57 

Sweden 

Financial Supervisory Authority of Sweden (Finansinspektionen) 

2012.4.24 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

58 

Swiss 

Swiss Federal Banking Commission 

2003.5.22 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

59 

Taiwan region 

Financial Supervisory Commission of the Taiwan region 

2009.11.6 

MoU Regarding Cross-Strait Regulatory Cooperation on Securities and Futures 

  

60 

Thailand 

Securities Exchange Commission 

2007.4.11 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

61 

Turkey 

Capital Market Board of Turkey 

2006.11.10 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

62 

U.A.E. 

Emirate Securities and Commodities Authority 

2006.12.6 

MoU Regarding Securities and Futures Regulatory Cooperation 

  

63 

U.K. 

HM Treasury
Securities and Investment Board 

1996.10.7 

MoU on Mutual Assistance and the Exchange of Information Concerning Regulatory Cooperation in Securities and Futurs Matters 

  

United Kingdom Financial Conduct Authority 

2018.10.17 

Concerning Supervisory and Enforcement Cooperation under Shanghai-London Stock Connect 

  

64 

U.S. 

U.S. Securities and Exchange Commission 

1994.4.28 

MoU Regarding Cooperation, Consultation and the Provision of Technical Assistance 

  

U.S. Commodity Futures Trading Commission 

2002.1.18 

Futures Regulatory Cooperation MoU 

  

U.S. Securities and Exchange Commission 

2006.5.2 

Terms of reference for the cooperation and collaboration

  

65 

Ukraine 

Ukrainian National Securities and Stock Market Commission 

2013.8.30 

MoU Regarding Securities and Futures Regulatory Cooperation 

This MoU was based on the MoU Regarding Securities Regulatory Cooperation signed by the CSRC and Ukrainian Securities and Stock Market State Commission on December 22,1997. 

  

66 

Vietnam 

State Securities Commission of Vietnam 

2005.6.27 

MoU Regarding Securities and Futures Regulatory Cooperation 



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