Knowledge

Knowledge is power. Here, we share useful information on laws governing Hong Kong’s markets with you, empowering you to foresee or overcome legal obstacles. Contact us for an in-depth discussion today.

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.

SFC Bans Mr. Poon Chun Hing From Re-entering Industry for Life
SFC Bans Mr. Poon Chun Hing From Re-entering Industry for Life 1400 788 Hauzen LLP
Readers are reminded to be alert if approached with securities & futures investments or dealing with anyone claiming they are licensed / registered in Hong Kong

Insurance Authority Reprimands & Fines Insurer for Contraventions of AML & CTF Ordinances
Insurance Authority Reprimands & Fines Insurer for Contraventions of AML & CTF Ordinances 1400 788 Hauzen LLP
MetLife (now FWD Life) & Metropolitan Life Insurance (now FWD Life Assurance) fined HK$7 million. It is clear that the IA takes these failures very seriously.

PCPD FAQ on EU’s New Standard Contractual Clauses for Personal Data
PCPD FAQ on EU’s New Standard Contractual Clauses for Personal Data 1400 787 Hauzen LLP
From 27 September 2021 on, data exporters & importers can only conclude contracts incorporating new SCCs for transfer of personal data out of European Union.

Hong Kong Funds Update: 1) Launch of Re-domiciliation Mechanisms; 2) Updates from Companies Registry
Hong Kong Funds Update: 1) Launch of Re-domiciliation Mechanisms; 2) Updates from Companies Registry 1401 788 Hauzen LLP
Foreign Investment Funds now able take advantage of this mechanism to re-domicile & register in Hong Kong as OFCs or LPFs

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

Carried Interest Tax Concession Regime for Private Equity Funds
Carried Interest Tax Concession Regime for Private Equity Funds 1401 788 Hauzen LLP
New regime operates to provide tax concession at both the salaries tax and profits tax levels.  

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 LLP
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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