Conclusion of Consultation Paper on Proposed Amendments to Hong Kong...
The Hong Kong Securities and Futures Commission (SFC) issued a consultation paper titled “Consultation Paper on the Proposed Amendments to the Professional Investor Regime and the Client Agreement...
View ArticleConsultation Draft Rules Issued by the China Securities Regulatory Commission...
The China Securities Regulatory Commission (CSRC) has issued draft rules for consultation purposes relating to the proposed investment by foreign investors and dealing by foreign brokerages in futures...
View ArticleThe CSRC and the SFC Announces Launch of the Mainland-Hong Kong Mutual...
Introduction - On May 22, 2015, the Hong Kong Securities and Futures Commission (“SFC”) and the China Securities Regulatory Commission (“CSRC”) issued a joint announcement on the decision to implement...
View ArticleSFC Introduces Revamped Process to Expedite Fund Applications and...
In order to streamline and reduce the processing time of fund authorization processes, the Hong Kong Securities and Futures Commission (SFC) announced the launch of new initiatives to enhance the...
View ArticleThe Introduction of an Open-Ended Fund Company Regime in Hong Kong
Under the current legal and regulatory regime relating to the establishment of investment funds in Hong Kong, an open-ended investment fund in Hong Kong can only take the form of a unit trust. This is...
View ArticleNew Requirements to Hong Kong Professional Investor Regime to Become...
The Hong Kong Securities and Futures Commission (the “SFC”) issued a consultation paper titled “Consultation Paper on the Proposed Amendments to the Professional Investor Regime and the Client...
View ArticleExpanded Licensing Regime for Asset Managers Managing OTC Derivatives...
Key Points - - Amended Hong Kong Securities and Futures Ordinance expands existing type 9 Regulated Activity (Asset Management) to cover management of OTC derivative products. - A Type 9 licenseholder...
View ArticleSFC’s Concerns Over Licensees’ Anti-Money Laundering Internal Controls
Key Points - - The SFC Enforcement Division is investigating several SFC-licensed brokerages for suspected inadequate AML internal controls. - Reminder of SFC areas of concern. - SFC licensees should...
View ArticleSFC Circular to Managers of SFC Authorised Funds Addressing Liquidity Risk...
Key Points - - All managers of SFC authorised funds (including overseas managers of SFC authorised funds) are required to enhance internal liquidity risk management processes and procedures in order to...
View ArticleSFC Introduces Measures for Enhancing the Accountability of Senior Management
Key Points - - New Managers-In-Charge regime - Outlines the regulatory obligations and potential liabilities of the senior management of licensed corporations who do not conduct regulated activities -...
View ArticleSFC Publishes Circulars and Updates FAQs on the Triggering of, and Compliance...
Key Points - - Clarification and new guidance relating to suitability obligations under the Code of Conduct. - Outlines the regulatory obligations of licensed or registered persons....By: Anne-Marie...
View ArticleReminder that the List of Securities Subject to Hong Kong Short Position...
Market participants are currently only required to report short positions in 138 SEHK-listed securities (in accordance with the list of specified shares published by the Securities and Futures...
View ArticleSFC (the “Commission”) Expresses Concern over Irregularities in Asset...
•The Commission has identified a number of regulatory concerns with respect to private funds and discretionary accounts, in particular, funds with concentrated, illiquid and interconnected investments....
View ArticleConclusion of Consultation Paper on Proposed Amendments to Hong Kong...
The Hong Kong Securities and Futures Commission (SFC) issued a consultation paper titled “Consultation Paper on the Proposed Amendments to the Professional Investor Regime and the Client Agreement...
View ArticleConsultation Draft Rules Issued by the China Securities Regulatory Commission...
The China Securities Regulatory Commission (CSRC) has issued draft rules for consultation purposes relating to the proposed investment by foreign investors and dealing by foreign brokerages in futures...
View ArticleThe CSRC and the SFC Announces Launch of the Mainland-Hong Kong Mutual...
Introduction - On May 22, 2015, the Hong Kong Securities and Futures Commission (“SFC”) and the China Securities Regulatory Commission (“CSRC”) issued a joint announcement on the decision to implement...
View ArticleSFC Introduces Revamped Process to Expedite Fund Applications and...
In order to streamline and reduce the processing time of fund authorization processes, the Hong Kong Securities and Futures Commission (SFC) announced the launch of new initiatives to enhance the...
View ArticleThe Introduction of an Open-Ended Fund Company Regime in Hong Kong
Under the current legal and regulatory regime relating to the establishment of investment funds in Hong Kong, an open-ended investment fund in Hong Kong can only take the form of a unit trust. This is...
View ArticleNew Requirements to Hong Kong Professional Investor Regime to Become...
The Hong Kong Securities and Futures Commission (the “SFC”) issued a consultation paper titled “Consultation Paper on the Proposed Amendments to the Professional Investor Regime and the Client...
View ArticleExpanded Licensing Regime for Asset Managers Managing OTC Derivatives...
Key Points - - Amended Hong Kong Securities and Futures Ordinance expands existing type 9 Regulated Activity (Asset Management) to cover management of OTC derivative products. - A Type 9 licenseholder...
View Article
