Financial Regulation Archives - Page 2 of 2

Basil Hwang
19/05/2022

VIDEO: Financial Regulation in Hong Kong

VIDEO: Financial Regulation in Hong Kong https://hauzen.hk/wp-content/uploads/2020/09/Hauzen-LLP-Basil-Hwang_600x600sm.jpg 600 600 Basil Hwang Basil Hwang https://secure.gravatar.com/avatar/5d3f58de143db081e366aef68a3a5c15?s=96&d=mm&r=g 19/05/2022 20/05/2022

Our Basil Hwang and Kelly Ho give us an overview of the financial regulatory sector in Hong Kong.

Kelly Ho
28/10/2021

New MOU to enhance fintech regulation in GBA

New MOU to enhance fintech regulation in GBA https://hauzen.hk/wp-content/uploads/2021/11/guangzhou-derch-Zp4gRwQFLRE-unsplash_1400x788.jpg 1400 788 Kelly Ho Kelly Ho https://secure.gravatar.com/avatar/edf43aa4257659462da0e70132762ed4?s=96&d=mm&r=g 28/10/2021 26/11/2021

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.

Hauzen LLP
22/10/2021

SFC’s Revised Guidelines on Competence effective 1 Jan 2022

SFC’s Revised Guidelines on Competence effective 1 Jan 2022 https://hauzen.hk/wp-content/uploads/2020/09/stairs-alex-rodriguez-santibanez-AIvKJfwMcd8-unsplash_1401x788sm.jpg 1401 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 22/10/2021 15/08/2024

In this two-part series, we will focus on the key changes under the Competence Guidelines for Responsible Officers and Licensed Representatives.

Greg Heaton
29/09/2021

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? https://hauzen.hk/wp-content/uploads/2020/08/hong-kong-islands-alice-mourou-e-VK4NxwN1c-unsplash_1402x790-sm.jpg 1402 790 Greg Heaton Greg Heaton https://secure.gravatar.com/avatar/aeb27e483ea54da0342f002ba531966f?s=96&d=mm&r=g 29/09/2021 22/04/2023

Are your company records stored in the cloud? Licensees in Hong Kong beware you are likely breaching the Securities and Futures Ordinance.

Hauzen LLP
08/09/2021

SFC’s new initiative to warn against unauthorised investment schemes

SFC’s new initiative to warn against unauthorised investment schemes https://hauzen.hk/wp-content/uploads/2020/12/stairs-feet-pikwizard-e56c51548444732f224d910d420e40f5_1401x788sm.jpg 1401 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 08/09/2021 10/01/2022

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”).

Hauzen LLP
25/08/2021

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

SFC’s Circular to licensed corporations – Operation of Bank Accounts https://hauzen.hk/wp-content/uploads/2020/09/stairs-alex-rodriguez-santibanez-AIvKJfwMcd8-unsplash_1401x788sm.jpg 1401 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 25/08/2021 01/11/2021

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”).

Hauzen LLP
12/08/2021

SFC warns unregulated virtual asset platforms

SFC warns unregulated virtual asset platforms https://hauzen.hk/wp-content/uploads/2021/11/circuitboard-ryan-tpAyLp9Ro50-unsplash_1400x787.jpg 1400 787 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 12/08/2021 01/09/2023

The Securities and Futures Commission warns unregulated virtual asset platforms

Hauzen LLP
06/08/2021

Court of Appeal grants SFC compensation orders against former directors of EganaGoldpfeil

Court of Appeal grants SFC compensation orders against former directors of EganaGoldpfeil https://hauzen.hk/wp-content/uploads/2021/10/money-pexels-tima-miroshnichenko-6266453_1401x786sm.jpg 1401 786 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 06/08/2021 15/08/2024

Court of Appeal grants the Securities and Futures Commission $622 million compensation orders against former directors of EganaGoldpfeil (Holdings) Ltd.

Hauzen LLP
28/07/2021

SFC suspends a Responsible Officer of GEO Securities Ltd

SFC suspends a Responsible Officer of GEO Securities Ltd https://hauzen.hk/wp-content/uploads/2021/11/woam-computer-pexels-mikhail-nilov-7534101_1400x788.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 28/07/2021 10/01/2022

The Hong Kong Securities and Futures Commission suspends a Responsible Officer of GEO for breach of licensing conditions.

Hauzen LLP
03/06/2021

The Securities and Futures Commission (the “SFC”) reprimanded and fined Ewarton Securities Limited

The Securities and Futures Commission (the “SFC”) reprimanded and fined Ewarton Securities Limited https://hauzen.hk/wp-content/uploads/2021/11/stairs-pexels-atypeek-dgn-5649475_1400x788.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 03/06/2021 10/01/2022

The Securities and Futures Commission reprimanded and fined Ewarton Securities Limited for internal control failings and breaches of the SFC’s Code of Conduct.

Financial Regulation