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Hauzen LLP

Hong Kong & Mainland China Sign Supplemental Arrangement for Mutual Enforcement of Arbitral Awards
Hong Kong & Mainland China Sign Supplemental Arrangement for Mutual Enforcement of Arbitral Awards 1400 788 Hauzen LLP
November 2020, Hong Kong and Mainland China signed the Supplemental Arrangement Concerning Mutual Enforcement of Arbitral Awards to make several amendments

SFC published FAQ Guidance on Use of External Electronic Data Storage by Licensed Corporations
SFC published FAQ Guidance on Use of External Electronic Data Storage by Licensed Corporations 1400 787 Hauzen LLP
SFC published Frequently Asked Questions December 2020 providing guidance to licensed corporations on the use of external electronic data storage.
Financial Services Regulation

SFC’s Consultation on Investor Identification & Over-the-counter Securities Transactions Reporting Regimes
SFC’s Consultation on Investor Identification & Over-the-counter Securities Transactions Reporting Regimes 1920 1080 Hauzen LLP
The deadline for the consultation period is fast approaching and currently set to be 4 March 2021. Learn more about the proposed regimes here.

Mutual Recognition of Funds between Thailand & Hong Kong
Mutual Recognition of Funds between Thailand & Hong Kong 1400 788 Hauzen LLP
On 20 Jan 2021, SFC & SEC entered into MoU to allow eligible Hong Kong and Thai public funds to be distributed in each other’s markets through streamlined process

Hong Kong’s Limited Partnership Fund Ordinance
Hong Kong’s Limited Partnership Fund Ordinance 1401 788 Hauzen LLP
Private equity funds are key to growth of asset and wealth management business and in 2020 a bill was introduced in Hong Kong to establish a registration regime for limited partnership funds.

Short Selling – Recent Regulatory Reform
Short Selling – Recent Regulatory Reform 1401 788 Hauzen LLP
Global practices with respect to selling regulations are considered in the context of Hong Kong which has taken a more stringent approach to reporting requirements, compared to UK, Australia & Singapore.

Short Position Reporting Regime
Short Position Reporting Regime 1401 788 Hauzen LLP
The requirement to report short positions is examined in this practice note, with consideration of the background to the regime.

Short Selling Regulation
Short Selling Regulation 1401 788 Hauzen LLP
This practice note provides the framework and restrictions for conducting short-selling lawfully under Part VII of the Securities and Futures Ordinance (Cap 571).

Different Types of Short Selling
Different Types of Short Selling 1401 788 Hauzen LLP
Variants of short selling are considered including an introduction to ‘naked’ and ‘covered’ short sales. This section also sets out the dangers of short selling in the context of rights issues.

Introduction to Short Selling
Introduction to Short Selling 1401 788 Hauzen LLP
This overview of short selling includes its definition, its operation, and how the practice is seen by regulators to be prone to market abuse.
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