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.

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.

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.
Back to top
Privacy Preferences

When you visit our website, it may store information through your browser from specific services, usually in the form of cookies. Here you can change your Privacy preferences. It is worth noting that blocking some types of cookies may impact your experience on our website and the services we are able to offer.  View our Legal Notices

For performance and security reasons we use Cloudflare
required
Click to enable/disable Google Analytics tracking code.
Click to enable/disable Google Fonts.
Click to enable/disable Google Maps.
Click to enable/disable video embeds.
Our website uses cookies, including from 3rd party services. Define your Privacy Preferences and/or agree to our use of cookies.