Financial Regulation

HKCFA Upholds SFC’s Powers Against Foreign Defendants

HKCFA Upholds SFC’s Powers Against Foreign Defendants 1920 1081 Hauzen
The Hong Kong CFA confirms the SFC’s power to seek various orders from the Hong Kong court against foreign defendants without requiring leave.

Sponsors Still Taking the Rap for Listing Fraud

Sponsors Still Taking the Rap for Listing Fraud 1400 788 Greg Heaton
When listing frauds unravel, regulators usually focus on finding fault with the sponsors. Sponsors face significant regulatory risks for limited financial gain.

How Sponsors Became Gatekeepers of HKEX

How Sponsors Became Gatekeepers of HKEX 1400 787 Greg Heaton
Thirty years ago, Tsingtao Brewery became the first mainland Chinese company to list on HKEX. Over 1400 others followed, scams included.

SFC proposes amendments to Securities and Futures Ordinance to strengthen enforcement

SFC proposes amendments to Securities and Futures Ordinance to strengthen enforcement 1400 788 Hauzen
The SFC is accepting comments on its proposed amendments by no later than 12 August 2022.

VIDEO: Financial Regulation in Hong Kong

VIDEO: Financial Regulation in Hong Kong 600 600 Basil Hwang
Our Basil Hwang and Kelly Ho give us an overview of the financial regulatory sector in Hong Kong.

New MOU to enhance fintech regulation in GBA

New MOU to enhance fintech regulation in GBA 1400 788 Kelly Ho
This new network link-up creates a one-stop platform for firms to conduct pilot trials of cross-boundary fintech initiatives in HK and GBA cities concurrently.

SFC’s Revised Guidelines on Competence effective 1 Jan 2022

SFC’s Revised Guidelines on Competence effective 1 Jan 2022 1401 788 Hauzen
In this two-part series, we will focus on the key changes under the Competence Guidelines for Responsible Officers and Licensed Representatives.

Record keeping in the cloud: As an old law falls to a modern reality, do SFC licensees risk repercussions?

Record keeping in the cloud: As an old law falls to a modern reality, do SFC licensees risk repercussions? 1402 790 Greg Heaton
Are your company records stored in the cloud? Licensees in Hong Kong beware you are likely breaching the Securities and Futures Ordinance.

SFC’s new initiative to warn against unauthorised investment schemes

SFC’s new initiative to warn against unauthorised investment schemes 1401 788 Hauzen
The Securities and Futures Commission (the “SFC”) launched a new initiative to warn the public against unauthorised investment arrangements which are suspected to be collective investment schemes (“CIS”).

SFC’s Circular to licensed corporations – Operation of Bank Accounts

SFC’s Circular to licensed corporations – Operation of Bank Accounts 1401 788 Hauzen
The Securities and Futures Commission (“SFC”) issued a circular to licensed corporations (“LC”) on 28 June 2021 warning against unsatisfactory practices in the operation of bank accounts of LCs (the “Circular”). 
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