Hauzen LLP, Author at Hauzen LLP

Hauzen LLP
02/02/2021

Mutual Recognition of Funds between Thailand & Hong Kong

Mutual Recognition of Funds between Thailand & Hong Kong https://hauzen.hk/wp-content/uploads/2021/02/bangkok-stairs-ryan-tang-8OyZGH43-p4-unsplash-sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 02/02/2021 10/01/2022

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

Hauzen LLP
18/01/2021

Hong Kong’s Limited Partnership Fund Ordinance

Hong Kong’s Limited Partnership Fund Ordinance https://hauzen.hk/wp-content/uploads/2020/12/stairs-feet-pikwizard-e56c51548444732f224d910d420e40f5_1401x788sm.jpg 1401 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 18/01/2021 18/01/2021

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.

Hauzen LLP
15/01/2021

Short Selling – Recent Regulatory Reform

Short Selling – Recent Regulatory Reform https://hauzen.hk/wp-content/uploads/2020/12/stairs-feet-pikwizard-e56c51548444732f224d910d420e40f5_1401x788sm.jpg 1401 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 15/01/2021

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.

Hauzen LLP
15/01/2021

Short Position Reporting Regime

Short Position Reporting Regime https://hauzen.hk/wp-content/uploads/2020/12/stairs-feet-pikwizard-e56c51548444732f224d910d420e40f5_1401x788sm.jpg 1401 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 15/01/2021

The requirement to report short positions is examined in this practice note, with consideration of the background to the regime.

Hauzen LLP
15/01/2021

Short Selling Regulation

Short Selling Regulation https://hauzen.hk/wp-content/uploads/2020/12/stairs-feet-pikwizard-e56c51548444732f224d910d420e40f5_1401x788sm.jpg 1401 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 15/01/2021

This practice note provides the framework and restrictions for conducting short-selling lawfully under Part VII of the Securities and Futures Ordinance (Cap 571).

Hauzen LLP
15/01/2021

Different Types of Short Selling

Different Types of Short Selling https://hauzen.hk/wp-content/uploads/2020/12/stairs-feet-pikwizard-e56c51548444732f224d910d420e40f5_1401x788sm.jpg 1401 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 15/01/2021

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.

Hauzen LLP
15/01/2021

Introduction to Short Selling

Introduction to Short Selling https://hauzen.hk/wp-content/uploads/2020/12/stairs-feet-pikwizard-e56c51548444732f224d910d420e40f5_1401x788sm.jpg 1401 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 15/01/2021

This overview of short selling includes its definition, its operation, and how the practice is seen by regulators to be prone to market abuse.

Hauzen LLP
15/01/2021

Client Misconduct – Money Laundering

Client Misconduct – Money Laundering https://hauzen.hk/wp-content/uploads/2020/12/stairs-pikwizard-498d26a768504c041a26333fdbca5804_1402x790sm.jpg 1402 790 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 21/01/2021

Legal framework under which businesses and professions operate in respect of client money laundering is examined – there are a number of statutory provisions which must be adhered to.

Hauzen LLP
15/01/2021

Investigations and Criminal Offences Relating to AML and CTF

Investigations and Criminal Offences Relating to AML and CTF https://hauzen.hk/wp-content/uploads/2020/12/stairs-pikwizard-498d26a768504c041a26333fdbca5804_1402x790sm.jpg 1402 790 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 15/01/2021

Sets out the powers of investigators and law enforcers, as well as considering the range of criminal offences that can be committed by financial institutions and their employees.

Hauzen LLP
15/01/2021

Systems and Controls to Prevent Money Laundering and Counter Terrorist Financing

Systems and Controls to Prevent Money Laundering and Counter Terrorist Financing https://hauzen.hk/wp-content/uploads/2020/12/stairs-pikwizard-498d26a768504c041a26333fdbca5804_1402x790sm.jpg 1402 790 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 15/01/2021

A practical approach to a major issue facing financial institutions, who must conduct extensive due diligence on customers and keep relevant documentation under AML and CTF laws.

Hauzen LLP