Hauzen LLP, Author at Hauzen LLP

Hauzen LLP
09/02/2021

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 https://hauzen.hk/wp-content/uploads/2021/11/microchip-laura-ockel-qOx9KsvpqcM-unsplash_1400x787.jpg 1400 787 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 09/02/2021 10/01/2022

SFC published Frequently Asked Questions December 2020 providing guidance to licensed corporations on the use of external electronic data storage.

Hauzen LLP
02/02/2021

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 https://hauzen.hk/wp-content/uploads/2020/09/piqsels.com-id-zwvfp-escalator_sm.jpg 1920 1080 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 02/02/2021 01/11/2021

The deadline for the consultation period is fast approaching and currently set to be 4 March 2021. Learn more about the proposed regimes here.

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