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.

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.

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.
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