Financial Services Regulation

SFC warns against online investment scams
SFC warns against online investment scams 1400 788 Hauzen LLP
The Securities and Futures Commission has recently concluded an online campaign alerting the public about the use of online platforms to defraud investors. There are many ways to ascertain and verify the identity of the counter-party on the other end of the deal.  Here are some ways to avoid falling victim to investment scams:-

HKEx Consultation Paper on the Main Board Profit Requirement
HKEx Consultation Paper on the Main Board Profit Requirement 1401 788 Hauzen LLP
On 27 November 2020, the Stock Exchange of Hong Kong Limited published a Consultation Paper proposing to increase the Main Board profit requirement.

SFC Press Release – Investigation Updates
SFC Press Release – Investigation Updates 1400 788 Hauzen LLP
SFC and Police launched joint operation against listed company and senior executives for market misconduct, and revoke revokes IDS Forex HK Limited’s licence and permanently bans its former co-CEOs from re-entering the industry.

The Insurance Authority welcomes Pilot Insurance-linked Securities Grant Scheme
The Insurance Authority welcomes Pilot Insurance-linked Securities Grant Scheme 1401 789 Hauzen LLP
The Financial Secretary the Paul Chan delivered his 2021-22 budget speech on 24 February 2021 proposing to launch a two-year pilot insurance-linked securities grant scheme to attract insurance enterprises or organisations to issue insurance-linked securities in Hong Kong.

FSTB Consultation paper on new licensing regime for virtual assets services providers
FSTB Consultation paper on new licensing regime for virtual assets services providers 1400 935 Hauzen LLP
FSTB published consultation paper proposeing to introduce a licensing regime for virtual assets services providers (“VASPs”).  The consultation period ended on 31 January 2021.

HKEx Published Consultation Paper on Listing Regime for Overseas Issuers
HKEx Published Consultation Paper on Listing Regime for Overseas Issuers 1400 788 Hauzen LLP
On 31 March 2021, HKEx published a consultation paper (the “Consultation”) seeking comments on proposed amendments to the Listing Rules in order to enhance and streamline the listing regime for overseas issuers. 

SFC consults on conduct requirements for bookbuilding and placing activities
SFC consults on conduct requirements for bookbuilding and placing activities 1402 790 Hauzen LLP
On 8 February 2021, the Securities and Futures Commission published a consultation paper on conduct requirements for capital market transactions in Hong Kong.

SFC’s Consultation Paper on amendments to the Code on Pooled Retirement Funds
SFC’s Consultation Paper on amendments to the Code on Pooled Retirement Funds 150 150 Hauzen LLP
The comment period of the Securities and Future Commission’s (“SFC”) public consultation paper (the “Consultation”) on proposed amendments to the Code on Pooled Retirement Funds (the “Code”) has recently come to an end.
Financial Services Regulation

SFC, HKEx Directed to Explore SPAC Listings in Hong Kong
SFC, HKEx Directed to Explore SPAC Listings in Hong Kong 1920 1080 Hauzen LLP
March 2021, SFC and HKEx briefed a forum of top financial leaders in Hong Kong about the latest developments in Special Purpose Acquisition Companies (SPACs)

SFC, HKMA and AMCM sign MOU on Cross-Boundary Wealth Management Connect
SFC, HKMA and AMCM sign MOU on Cross-Boundary Wealth Management Connect 1400 788 Hauzen LLP
On 5 February 2021, the Securities and Futures Commission (“SFC”), the Hong Kong Monetary Authority (“HKMA”) and the Monetary Authority of Macao (“AMCM”) entered into a Memorandum of Understanding (“MOU”) in relation to the launch of the Cross-boundary Wealth Management Connect Pilot Scheme (“Scheme”) in the Guangdong-Hong Kong-Macao Greater Bay Area with Mainland authorities such as People’s Bank of China, China Banking and Insurance Regulatory Commission, China Securities Regulatory Commission and the State Administration of Foreign Exchange.
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