Hauzen LLP, Author at Hauzen LLP

Hauzen LLP
15/01/2021

Direct Marketing Regime

Direct Marketing Regime https://hauzen.hk/wp-content/uploads/2021/11/personal-data-pexels-thisisengineering-3861969_1400x787sm.jpg 1400 787 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 10/01/2022

The PDPO provides generally for all forms of direct marketing. Marketing of securities in particular is subject to further regulations under the Securities and Futures Ordinance and other laws.

Hauzen LLP
15/01/2021

Personal Data Privacy in the Financial Services Industry

Personal Data Privacy in the Financial Services Industry https://hauzen.hk/wp-content/uploads/2021/11/personal-data-pexels-thisisengineering-3861969_1400x787sm.jpg 1400 787 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 10/01/2022

The PDPO defines personal data as relating directly or indirectly to a living individual; from which it is practicable for the identity of the individual to be directly or indirectly ascertained; and in a form in which access to or processing of the data is practicable.

Hauzen LLP
15/01/2021

Telephone Promotions

Telephone Promotions https://hauzen.hk/wp-content/uploads/2020/08/hong-kong-islands-alice-mourou-e-VK4NxwN1c-unsplash_1402x790-sm.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

Information on the regulatory framework of telephone promotions in Hong Kong with a focus on unsolicited calls.

Hauzen LLP
15/01/2021

Promotional Materials

Promotional Materials https://hauzen.hk/wp-content/uploads/2020/08/hong-kong-islands-alice-mourou-e-VK4NxwN1c-unsplash_1402x790-sm.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

Information on the regulatory framework of promotional materials in Hong Kong, with a focus on advertisements.

Hauzen LLP
15/01/2021

Insider Dealing: Defences

Insider Dealing: Defences https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 15/01/2021

Under sections 271 and 292 of the SFO, a person or corporation may avail himself of a defence if he falls within one of the categories set out in this article.

Hauzen LLP
15/01/2021

What Constitutes Insider Dealing?

What Constitutes Insider Dealing? https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 21/01/2021

Insider dealing is defined under the SFO to arise under the three circumstances and under each circumstance, inside information may originate from two kinds of sources: someone connected with a corporation or someone involved with a proposed take-over offer for a corporation.

Hauzen LLP
15/01/2021

Structure & Definitions of the Insider Dealing Provisions in SFO

Structure & Definitions of the Insider Dealing Provisions in SFO https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 20/01/2021

As with the provisions governing other forms of market misconduct, insider dealing is categorised into the civil regime and the criminal regime.

Hauzen LLP
15/01/2021

Insider Dealing

Insider Dealing https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 15/01/2021

Illicit trades are considered in detail, documenting the history of the situation in Hong Kong and the current regime. Relevant legislation is considered, along with possible sanctions and penalties.

Hauzen LLP
15/01/2021

Market Manipulation

Market Manipulation https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 15/01/2021

Scrutiny of issues relating to manipulation of the securities market is provided and offences which traditionally fall under this umbrella.

Hauzen LLP
15/01/2021

Market Misconduct Regulations in Hong Kong

Market Misconduct Regulations in Hong Kong https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 15/01/2021

Insight into the Securities and Futures Ordinance (Cap 571) (SFO) and its ‘dual’ approach to breaches, which can see both civil cases and criminal charges being brought.

Hauzen LLP