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Hauzen LLP

Financial Services Regulation

HKCGI’s Guidance Note on Mergers and Acquisitions
HKCGI’s Guidance Note on Mergers and Acquisitions 1920 1080 Hauzen LLP
On 26 May 2021, the Hong Kong Chartered Governance Institute issued a guidance note on mergers and acquisitions.

Guideline on Submission of Business Plan by Applicant of a Money Lenders Licence
Guideline on Submission of Business Plan by Applicant of a Money Lenders Licence 1401 786 Hauzen LLP
Further to our article on the publication of the Guideline on Fit and Proper Criteria for Licensing of Money Lenders, on 29 January 2021, the Companies Registry published another Guideline on Submission of Business Plan by Applicant of a Money Lenders Licence.

SFC’s Circular to licensed corporations – Operation of Bank Accounts
SFC’s Circular to licensed corporations – Operation of Bank Accounts 1401 788 Hauzen LLP
The Securities and Futures Commission (“SFC”) issued a circular to licensed corporations (“LC”) on 28 June 2021 warning against unsatisfactory practices in the operation of bank accounts of LCs (the “Circular”). 

Guideline on Fit and Proper Criteria for Licensing of Money Lenders
Guideline on Fit and Proper Criteria for Licensing of Money Lenders 1401 786 Hauzen LLP
On 29 January 2021, the Companies Registry (the “CR”) published the Guideline on Fit and Proper Criteria for Licensing of Money Lenders to outline the criteria and matters that the CR considers in determining the fitness and properness of applicants for money lenders licences.

Consultation on Proposed Code of Practice for Third Party Funding in Mediation
Consultation on Proposed Code of Practice for Third Party Funding in Mediation 1400 935 Hauzen LLP
On 16 August 2021, the Department of Justice launched a two month public consultation to seek comments on the draft Code of Practice for Third Party Funding of Mediation (the “Code”).
Financial Services Regulation

Companies Registry News Update: Commencement of New Inspection Regime – Phase 1
Companies Registry News Update: Commencement of New Inspection Regime – Phase 1 1920 1080 Hauzen LLP
On 16 August 2021, the Companies Registry published external circular no.1/2021 regarding the commencement of a new inspection regime of the Companies Register under the Companies Ordinance (Cap.622) on 23 August 2021.

SFC publishes Guidance on Environmental, Social and Governance (“ESG”) Fund Disclosures
SFC publishes Guidance on Environmental, Social and Governance (“ESG”) Fund Disclosures 1400 788 Hauzen LLP
On 29 June 2021, the Securities and Futures Commission published the “Circular to management companies of SFC-authorized unit trusts and mutual funds – ESG funds”.

Guideline on Application for Authorization to Carry on Special Purpose Business
Guideline on Application for Authorization to Carry on Special Purpose Business 1402 790 Hauzen LLP
The Guideline is issued in connection with the regime administered by the IA for authorization of special purpose insurers (“SPIs”) to carry on special purpose business (“SPB”) in Hong Kong, which is defined to mean “the insurance business of effecting and carrying out contracts of insurance that are fully funded through insurance securitization”.
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