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Applications for a Decision

The Competition Ordinance (Ordinance) provides for certain exclusions and exemptions which, if applicable, will mean that the First Conduct Rule and/or the Second Conduct Rule do not apply.

Agreements or conduct falling within the scope of an exclusion or exemption will not contravene the Ordinance and there is no requirement to apply to the Competition Commission (Commission) for a decision to secure the benefit of a particular exclusion or exemption.

However, undertakings wishing to confirm whether or not an agreement or conduct is excluded or exempt from the First Conduct Rule and/or the Second Conduct Rule may choose to apply to the Commission for a decision under section 9 and/or section 24 of the Ordinance.

Undertakings or associations of undertakings may also apply to the Commission for a block exemption order confirming that a particular category of agreement falls within the scope of the exclusion for agreements enhancing overall economic efficiency. Please refer to our Applications for a Block Exemption Order page and Policy Documents for further details.

General guidance on such applications is available in the Commission’s Guideline on Applications for a Decision under Sections 9 and 24 (Exclusions and Exemptions) and Section 15 Block Exemption Orders. Decisions in respect of past Applications may also be a useful reference. The Register of Block Exemption Orders sets out all the block exemption orders issued by the Commission.

How to apply

Enquiries and Initial Consultation

Applicants may approach the Commission for an Initial Consultation prior to making an application. They are encouraged to seek independent legal advice before doing so.

Enquiries regarding applications to the Commission for a decision or for arranging an Initial Consultation can be made by email at [email protected].

Preparing the Application

Applications to the Commission are made by completing the Commission's Form AD and Annex to Form AD (if applicable) in accordance with the Commission's Explanatory Note on Form AD.

Applicants should note that the Annex to Form AD need only be completed in respect of applications for a Commission decision that a particular agreement is excluded from the application of the First Conduct Rule by or as a result of section 1 (Agreements enhancing overall economic efficiency) of Schedule 1 to the Ordinance.

It may not be possible for the Commission to make a decision if the information provided in an application is insufficient. Applicants should discuss with the Commission during the Initial Consultation the scope of information required for the purposes of completing Form AD.

Submitting the Application

Completed applications should be submitted by sending the following to the office of the Commission:

  1. two hardcopies and one electronic copy of the signed original of the confidential Form AD with all supporting documentation;
  2. one hardcopy and one electronic copy of the signed original of the non-confidential Form AD with all redacted supporting documentation; and
  3. a cheque made payable to “Competition Commission” in the amount required by the Competition (Fees) Regulation (Cap 619G), unless this has been waived or reduced with the prior agreement of the Commission. For further details on fees for applications, see the Commission’s guidance on Fees Payable for Making an Application to the Competition Commission.

The office of the Commission is at:

19/F, South Island Place,
8 Wong Chuk Hang Road,
Wong Chuk Hang, Hong Kong

After submitting the Application

The Commission will confirm receipt shortly after receiving the application. Applicants will subsequently be notified whether or not the Commission will proceed to consider the application.

Further steps and possible outcomes of the applications process are explained in the Commission’s Guideline on Applications for a Decision under Sections 9 and 24 (Exclusions and Exemptions) and Section 15 Block Exemption Orders.

Note

Personal Information Collection Statement

Where a person provides any personal data1 to the Commission whether in the context of making a complaint, an enquiry, an application for a decision under section 9 and/or 24 of the Competition Ordinance, an application for a block exemption order under section 15 of the Ordinance, or in any other context, the Commission will use the data for the purpose of performing its statutory functions under the Competition Ordinance generally and not merely for the purpose of responding to or taking action in respect of the particular complaint, enquiry, application or other matter concerned.

In this regard, the personal data may be used for any one or more of the following purposes:

  1. to consider, respond to, and take follow-up action (including enforcement action) in respect of complaints and enquiries made to the Commission;
  2. to consult upon, assess, consider, and solicit views in respect of applications (or potential applications) for decisions under sections 9 and/or 24 of the Competition Ordinance;
  3. to consult upon, assess, consider, and solicit views in respect of proposed block exemption orders;
  4. generally to investigate conduct that may contravene the competition rules and enforce the provisions of the Competition Ordinance;
  5. to conduct market studies into matters affecting competition in markets in Hong Kong and/or for other research and statistical purposes;
  6. to promote the adoption by undertakings carrying on business in Hong Kong of appropriate internal controls and risk management systems to ensure their compliance with the Competition Ordinance;
  7. to achieve any other purpose relating to the performance of the Commission's statutory functions or anything authorised by the Competition Ordinance.

Although the Commission is under a duty of confidentiality imposed by law, the Commission may transfer and/or disclose personal data to third parties pursuant to section 125(2) of the Competition Ordinance. These third parties include but are not limited to the Commission’s professional advisers or other public authorities in Hong Kong including authorities involved in law enforcement. Moreover, for the purposes of carrying out the Commission’s enforcement functions under the Competition Ordinance, personal data may be disclosed to the Competition Tribunal and other relevant courts.

In certain cases the Commission may transfer personal data to competition authorities or other authorities situated outside Hong Kong. The Commission will take all reasonable steps to ensure that the personal data so transferred is given equivalent protection to that required in Hong Kong or that the terms of section 33 of the Personal Data (Privacy) Ordinance are otherwise complied with (as and when section 33 comes into force).

Subject to any applicable provisions of the Competition Ordinance and the Personal Data (Privacy) Ordinance, personal data may be used by the Commission and/or disclosed by the Commission to other public bodies in Hong Kong or authorities overseas for the purposes of verifying/matching2 the data.

Pursuant to the terms of the Personal Data (Privacy) Ordinance, a person who provides personal data to the Commission has the right to request access to and the correction of their personal data held by the Commission. Requests for access to or the correction of personal data should be made in accordance with the Commission's Privacy Policy.

1 Personal data means personal data as defined in the Personal Data (Privacy) Ordinance, Cap. 486.
2 See section 2 of the Personal Data (Privacy) Ordinance for an explanation of matching procedure.