Financial Regulation

Asia’s First Spot Bitcoin and Ether ETFs Debut in Hong Kong
Asia’s First Spot Bitcoin and Ether ETFs Debut in Hong Kong 1400 788 Hauzen

In a landmark move, Hong Kong has launched the first spot Bitcoin (BTC) and Ether (ETH) exchange traded funds (“ETFs”) in Asia on 30 April 2024, allowing retail investors to…

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”).
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