Financial Services Regulation

SFC sets out new regulatory approach for virtual assets
SFC sets out new regulatory approach for virtual assets 1400 935 Hauzen LLP
SFC issued a statement setting out a new approach which aims to bring virtual asset portfolio managers and distributors of virtual asset funds under its regulatory net.

SFC concludes consultation on prescribing professional investors
SFC concludes consultation on prescribing professional investors 1401 790 Hauzen LLP

The Securities and Futures Commission (“SFC”) today released consultation conclusions on proposed amendments to the Securities and Futures (Professional Investor) Rules (“PI Rules”) to standardise the rules for prescribing professional…

SFC reprimands and fines Citigroup Global Markets Asia Limited $57 million for sponsor failures
SFC reprimands and fines Citigroup Global Markets Asia Limited $57 million for sponsor failures 1402 790 Hauzen LLP

The Securities and Futures Commission (“SFC”) has reprimanded and fined Citigroup Global Markets Asia Limited (“Citi”) $57 million after resolving concerns with Citi over its discharge of duties as a…

Guideline on Authorization of Virtual Banks
Guideline on Authorization of Virtual Banks 1400 787 Hauzen LLP

The Hong Kong Monetary Authority (HKMA) published a revised Guideline on Authorization of Virtual Banks for public consultation. As part of the package of initiatives announced in September 2017 to…

SFC proposes enhancements to the Investor Compensation Regime
SFC proposes enhancements to the Investor Compensation Regime 1400 789 Hauzen LLP

The Securities and Futures Commission (SFC) today launched a two-month consultation on proposed enhancements to the Investor Compensation Regime. Key proposals include increasing the compensation limit from $150,000 to $500,000 per investor…

Cryptocurrency Regulation in Hong Kong – An Overview
Cryptocurrency Regulation in Hong Kong – An Overview 1400 935 Hauzen LLP

Regulators and policymakers around the world have been busy trying to get to grips with cryptocurrencies, particularly following a massive surge in interest in this area over the past year.…

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