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.

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.

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.
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