Page 58 - 期货和衍生品行业监管动态(2023年12月刊)
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期货和衍生品行业监管动态
上新台阶,迈向新阶段,携手保护两地投资者的合法权益,共同维护两地资本市
场的健康发展。”
SFC and CSRC Hold High-level Enforcement Cooperation Meeting and Joint
Training (2023/11/27)
The Securities and Futures Commission (SFC) and the China Securities
Regulatory Commission (CSRC) recently held their 15th regular high-level meeting on
enforcement cooperation and a three-day joint training event at Chengdu. This was the
first in-person meeting between the current enforcement heads of the SFC and the
CSRC and the first in-person joint training between the two enforcement units since the
COVID pandemic.
In addition to exchanging views on enforcement priorities, trends and progress and
taking stock of successful outcomes in enforcement cooperation this year, the parties
also conducted thorough discussions on enhancing coordination and cooperation
mechanisms to more effectively combat cross-boundary securities crimes and
misconduct.
A number of key issues relating to cross-boundary enforcement cooperation were
discussed, including:
sharing of investigation progress on important cases involving cross-boundary
investigatory assistance with a view to facilitating cooperation; and
sharing of experience in anti-money laundering related work.
At the same time, senior representatives of the SFC, the CSRC, the Mainland
Economic Crime Investigation Department of the Ministry of Public Security (ECID)
and the Commercial Crime Bureau of the Hong Kong Police Force (CCB) also met to
exchange views on strengthening law enforcement cooperation against securities and
economic crimes in accordance with their respective legal remits.
The three-day joint training event was enthusiastically attended by more than 50
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