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Understand the issues and impact of financial laws and regulations in our frequently updated topics.

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SFC Finds Deficiencies in LC’s Standards

SFC Finds Deficiencies in LC’s Standards 1401 786 Hauzen

Are you an LC providing online brokerage, distribution / advisory services in Hong Kong? SFC has a reminder on regulatory standards for you!

SFC Investor ID Regime Coming 2022Q4

SFC Investor ID Regime Coming 2022Q4 1400 787 Christie Liu

SFC’s new transaction surveillance Regimes come into effect soon with implications for data privacy policies and more – find out how you can get ready!

SFC’s timely reminder on NFTs

SFC’s timely reminder on NFTs 810 524 Kelly

Where an NFT is a genuine digital representation of a collectible, the activities related to it generally do not fall within the SFC’s regulatory remit. But what else should businesses look out for?

SFC reprimands & fines investment manager for failure managing private funds

SFC reprimands & fines investment manager for failure managing private funds 1400 788 Charing

SFC reprimanded and fined CES HK$3.2 million over its failure to discharge its duties as an investment manager between the period of February 2015 – July 2017.

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