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.

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.

Telephone Promotions
Telephone Promotions 1402 790 Hauzen LLP
Information on the regulatory framework of telephone promotions in Hong Kong with a focus on unsolicited calls.

Promotional Materials
Promotional Materials 1402 790 Hauzen LLP
Information on the regulatory framework of promotional materials in Hong Kong, with a focus on advertisements.

Insider Dealing: Defences
Insider Dealing: Defences 1400 788 Hauzen LLP
Under sections 271 and 292 of the SFO, a person or corporation may avail himself of a defence if he falls within one of the categories set out in this article.

What Constitutes Insider Dealing?
What Constitutes Insider Dealing? 1400 788 Hauzen LLP
Insider dealing is defined under the SFO to arise under the three circumstances and under each circumstance, inside information may originate from two kinds of sources: someone connected with a corporation or someone involved with a proposed take-over offer for a corporation.

Structure & Definitions of the Insider Dealing Provisions in SFO
Structure & Definitions of the Insider Dealing Provisions in SFO 1400 788 Hauzen LLP
As with the provisions governing other forms of market misconduct, insider dealing is categorised into the civil regime and the criminal regime.

Insider Dealing
Insider Dealing 1400 788 Hauzen LLP
Illicit trades are considered in detail, documenting the history of the situation in Hong Kong and the current regime. Relevant legislation is considered, along with possible sanctions and penalties.

Market Manipulation
Market Manipulation 1400 788 Hauzen LLP
Scrutiny of issues relating to manipulation of the securities market is provided and offences which traditionally fall under this umbrella.

Market Misconduct Regulations in Hong Kong
Market Misconduct Regulations in Hong Kong 1400 788 Hauzen LLP
Insight into the Securities and Futures Ordinance (Cap 571) (SFO) and its ‘dual’ approach to breaches, which can see both civil cases and criminal charges being brought.

Crowd-funding Activities
Crowd-funding Activities 1401 787 Hauzen LLP
Information on four common types of crowd funding which can be grouped into two main categories: (i) Community Crowd-funding; and (ii) Financial Return Crowd-funding.
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