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.

SFC suspends a Responsible Officer of GEO Securities Ltd
SFC suspends a Responsible Officer of GEO Securities Ltd 1400 788 Hauzen LLP
The Hong Kong Securities and Futures Commission suspends a Responsible Officer of GEO for breach of licensing conditions.

The Court of First Instance orders boiler room fraudsters to compensate investors
The Court of First Instance orders boiler room fraudsters to compensate investors 150 150 Hauzen LLP
Boiler room fraudsters ordered to compensate investors after finding that none of the investments in securities / futures products agreed were ever executed.

FSTB Concludes Landmark Consultation on New Licensing Regime for VASPs
FSTB Concludes Landmark Consultation on New Licensing Regime for VASPs 1400 788 Basil Hwang
Proposal has received broad support from respondents, who understand the importance of regulating VASPs in fulfilment of the obligations outlined by the FATF.

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 1400 788 Hauzen LLP
The Securities and Futures Commission reprimanded and fined Ewarton Securities Limited for internal control failings and breaches of the SFC’s Code of Conduct.

Virtual Assets: A Regulatory Overview
Virtual Assets: A Regulatory Overview 1400 935 Hauzen LLP
A balanced regulatory approach is crucial to address risks of virtual assets on the one hand, and to minimize the compliance burden to businesses on the other.

Market Misconduct Tribunal sanctions Magic Holdings International Limited and its five directors
Market Misconduct Tribunal sanctions Magic Holdings International Limited and its five directors 150 150 Hauzen LLP
On 11 March 2021, the Market Misconduct Tribunal fined Magic Holdings International Limited and five of its directors a total of $4 million after they were found to be culpable of late disclosure of inside information on L’Oréal S.A.’s proposed acquisition of Magic in 2013.

U.S. Probing Binance: Implications for Cryptocurrency and Fintech in Hong Kong
U.S. Probing Binance: Implications for Cryptocurrency and Fintech in Hong Kong 1400 788 Hauzen LLP
Cryptocurrency traders and exchanges should learn a lesson from Binance Holdings Ltd and be aware of potential money-laundering issues.

The HKMA publishes AML/CFT Regtech: Case Studies and Insights
The HKMA publishes AML/CFT Regtech: Case Studies and Insights 1400 786 Hauzen LLP
January 2021, the Hong Kong Monetary Authority published a report highlighting the opportunities that Regulatory Technology offers.

Hong Kong’s Limited Partnership Fund Ordinance
Hong Kong’s Limited Partnership Fund Ordinance 1401 788 Hauzen LLP
Private equity funds are key to growth of asset and wealth management business and in 2020 a bill was introduced in Hong Kong to establish a registration regime for limited partnership funds.

Short Selling – Recent Regulatory Reform
Short Selling – Recent Regulatory Reform 1401 788 Hauzen LLP
Global practices with respect to selling regulations are considered in the context of Hong Kong which has taken a more stringent approach to reporting requirements, compared to UK, Australia & Singapore.
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