Financial Services Regulation

SFC and FRC conclude MOU to strengthen regulation of capital markets
SFC and FRC conclude MOU to strengthen regulation of capital markets 1402 790 Hauzen LLP
SFC and FRC entered into new MOU for enhanced cooperation measures for regulation of PIE Auditors and the compliance by listed entities of regulatory requirements in financial reporting

SFC concludes Consultation on Amendments to the Securities and Futures (Professional Investor) Rules
SFC concludes Consultation on Amendments to the Securities and Futures (Professional Investor) Rules 1402 790 Hauzen LLP
May 2018, the SFC published the Consultation Conclusions on the Proposed Amendments to the Securities and Futures (Professional Investor) Rules.

2021-22 Budget Speech – Update on Open-ended Fund Companies and Limited Partnership Funds
2021-22 Budget Speech – Update on Open-ended Fund Companies and Limited Partnership Funds 1400 789 Hauzen LLP
The Financial Secretary announced legislative proposal to allow foreign investment funds to re-domicile to Hong Kong for registration as OFCs or LPFs and planned incentives in the form of subsidies for OFCs set or re-domiciled to Hong Kong.

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.

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

Bloomberg: Hong Kong Sanctions Could Threaten Banks
Bloomberg: Hong Kong Sanctions Could Threaten Banks 1288 682 Hauzen LLP

Josephine Chung, director and founder of CompliancePlus Consulting, discusses how western banks are walking a tight rope when it comes to their operations and obligations in Hong Kong. She speaks…

SFC Warns Private Equity Firms on Hong Kong Licensing
SFC Warns Private Equity Firms on Hong Kong Licensing 1400 788 Hauzen LLP

It has been nearly two decades since commencement of the current Securities and Futures Commission (SFC) licensing regime. The relevant legislation, the Securities and Futures Ordinance, originally specified nine types…

HKEx Consultation Conclusion: Backdoor Listing, Continuing Listing Criteria and Other Rule Amendments
HKEx Consultation Conclusion: Backdoor Listing, Continuing Listing Criteria and Other Rule Amendments 1400 788 Hauzen LLP

In recent years, the popularity of backdoor listings has resulted in a substantial increase in the value of a company solely for its listing status, leading to extensive activities related…

The Commencement of Operation of the Non-Hong Kong Companies (Disclosure of Company Name, Place of Incorporation and Members’ Limited Liability) Regulation (Cap. 622M)
The Commencement of Operation of the Non-Hong Kong Companies (Disclosure of Company Name, Place of Incorporation and Members’ Limited Liability) Regulation (Cap. 622M) 1402 790 Hauzen LLP

On 17 June 2019, the Companies Registry announced that the Non-Hong Kong Companies (Disclosure of Company Name, Place of Incorporation and Members’ Limited Liability) Regulation (the “Regulation”) will come into…

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