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.

Short Position Reporting Regime
Short Position Reporting Regime 1401 788 Hauzen LLP
The requirement to report short positions is examined in this practice note, with consideration of the background to the regime.

Short Selling Regulation
Short Selling Regulation 1401 788 Hauzen LLP
This practice note provides the framework and restrictions for conducting short-selling lawfully under Part VII of the Securities and Futures Ordinance (Cap 571).

Different Types of Short Selling
Different Types of Short Selling 1401 788 Hauzen LLP
Variants of short selling are considered including an introduction to ‘naked’ and ‘covered’ short sales. This section also sets out the dangers of short selling in the context of rights issues.

Introduction to Short Selling
Introduction to Short Selling 1401 788 Hauzen LLP
This overview of short selling includes its definition, its operation, and how the practice is seen by regulators to be prone to market abuse.

Client Misconduct – Money Laundering
Client Misconduct – Money Laundering 1402 790 Hauzen LLP
Legal framework under which businesses and professions operate in respect of client money laundering is examined – there are a number of statutory provisions which must be adhered to.

Investigations and Criminal Offences Relating to AML and CTF
Investigations and Criminal Offences Relating to AML and CTF 1402 790 Hauzen LLP
Sets out the powers of investigators and law enforcers, as well as considering the range of criminal offences that can be committed by financial institutions and their employees.

Systems and Controls to Prevent Money Laundering and Counter Terrorist Financing
Systems and Controls to Prevent Money Laundering and Counter Terrorist Financing 1402 790 Hauzen LLP
A practical approach to a major issue facing financial institutions, who must conduct extensive due diligence on customers and keep relevant documentation under AML and CTF laws.

Financial Action Task Force (FATF)
Financial Action Task Force (FATF) 1402 790 Hauzen LLP
Money laundering is a pertinent issue for financial institutions in Hong Kong and an overview of how Hong Kong fits into the global sphere of measures is considered here.

Direct Marketing Regime
Direct Marketing Regime 1400 787 Hauzen LLP
The PDPO provides generally for all forms of direct marketing. Marketing of securities in particular is subject to further regulations under the Securities and Futures Ordinance and other laws.

Personal Data Privacy in the Financial Services Industry
Personal Data Privacy in the Financial Services Industry 1400 787 Hauzen LLP
The PDPO defines personal data as relating directly or indirectly to a living individual; from which it is practicable for the identity of the individual to be directly or indirectly ascertained; and in a form in which access to or processing of the data is practicable.
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