Securities Regulation

Hauzen
01/11/2023

Hauzen Continues Growth With Key Strategic Hire

Hauzen Continues Growth With Key Strategic Hire https://hauzen.hk/wp-content/uploads/2023/10/Hauzen-LLP-Perline-Ko_600x600.jpg 600 600 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 01/11/2023 08/11/2023

Hauzen LLP is pleased to announce that Perline Ko has joined the firm, further boosting its financial regulations capabilities.

Greg Heaton
19/10/2023

Sponsors Still Taking the Rap for Listing Fraud

Sponsors Still Taking the Rap for Listing Fraud https://hauzen.hk/wp-content/uploads/2020/09/mobile-phone-pexels-ono-kosuki-5999931_1400x788.jpg 1400 788 Greg Heaton Greg Heaton https://secure.gravatar.com/avatar/aeb27e483ea54da0342f002ba531966f?s=96&d=mm&r=g 19/10/2023 17/12/2023

When listing frauds unravel, regulators usually focus on finding fault with the sponsors. Sponsors face significant regulatory risks for limited financial gain.

Greg Heaton
19/09/2023

How Sponsors Became Gatekeepers of HKEX

How Sponsors Became Gatekeepers of HKEX https://hauzen.hk/wp-content/uploads/2023/09/woman-papers-pexels-cottonbro-studio-6532131.jpg 1400 787 Greg Heaton Greg Heaton https://secure.gravatar.com/avatar/aeb27e483ea54da0342f002ba531966f?s=96&d=mm&r=g 19/09/2023 23/11/2023

Thirty years ago, Tsingtao Brewery became the first mainland Chinese company to list on HKEX. Over 1400 others followed, scams included.

Greg Heaton
19/05/2023

Hong Kong SPACs’ Bedazzling Debut – Act II

Hong Kong SPACs’ Bedazzling Debut – Act II https://hauzen.hk/wp-content/uploads/2023/05/tortoise-adolfo-felix-BXN16VVFEio-unsplash_1400x787.jpg 1400 787 Greg Heaton Greg Heaton https://secure.gravatar.com/avatar/aeb27e483ea54da0342f002ba531966f?s=96&d=mm&r=g 19/05/2023 28/11/2023

While a honeypot to some celebrities, tycoons and their professional advisors, SPACs have by and large been disastrous for everybody else.

Hauzen
10/05/2023

Hong Kong to Regulate Stablecoins

Hong Kong to Regulate Stablecoins https://hauzen.hk/wp-content/uploads/2021/11/circuitboard-vishnu-mohanan-pfR18JNEMv8-unsplash_1400x788.jpg 1400 788 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 10/05/2023 17/05/2023

New regulatory regime significant for stablecoins, and Hong Kong in particular. Stablecoins like USDT & USDC widely used as alternative currency for payment.

Greg Heaton
22/04/2023

Hong Kong SPACs’ Bedazzling Debut – Act I

Hong Kong SPACs’ Bedazzling Debut – Act I https://hauzen.hk/wp-content/uploads/2022/01/hong-kong-city-5012735_1920_1400x788sm.jpg 1400 788 Greg Heaton Greg Heaton https://secure.gravatar.com/avatar/aeb27e483ea54da0342f002ba531966f?s=96&d=mm&r=g 22/04/2023 23/11/2023

Hong Kong historically discouraged shell manufacturing and backdoor listings. It has now formalized these practices with the introduction of a SPAC regime.

Hauzen
18/04/2023

Hong Kong Wah Kiu Investment Co Ordered to Compensate Clients

Hong Kong Wah Kiu Investment Co Ordered to Compensate Clients https://hauzen.hk/wp-content/uploads/2021/02/bangkok-stairs-ryan-tang-8OyZGH43-p4-unsplash-sm.jpg 1400 788 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 18/04/2023 20/04/2023

The SFC’s investigation reveals intent to defraud or deceive and orders HKWKICL clients compensated

Basil Hwang
13/02/2023

Hong Kong Embraces Cryptocurrency: Get Ready for New VASP Regime

Hong Kong Embraces Cryptocurrency: Get Ready for New VASP Regime https://hauzen.hk/wp-content/uploads/2021/11/circuitboard-ryan-tpAyLp9Ro50-unsplash_1400x787.jpg 1400 787 Basil Hwang Basil Hwang https://secure.gravatar.com/avatar/5d3f58de143db081e366aef68a3a5c15?s=96&d=mm&r=g 13/02/2023 01/09/2023

Operating a virtual asset in Hong Kong? Learn what you need to do to get ready for the new SFC legislation starting 01 June 2023!

Hauzen
27/10/2022

SFC Suspends RO of Rifa Futures Ltd for Breach of KYC, AML & CFT Reqs

SFC Suspends RO of Rifa Futures Ltd for Breach of KYC, AML & CFT Reqs https://hauzen.hk/wp-content/uploads/2021/10/money-pexels-tima-miroshnichenko-6266453_1401x786sm.jpg 1401 786 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 27/10/2022 08/11/2022

SFC taking much stronger approach against failure to adhere to KYC, AML & CFT standards. Mere for-show due-diligence and monitoring checks will not suffice.

Hauzen
20/09/2022

SFC Finds Deficiencies in LC’s Standards

SFC Finds Deficiencies in LC’s Standards https://hauzen.hk/wp-content/uploads/2021/10/money-pexels-tima-miroshnichenko-6266453_1401x786sm.jpg 1401 786 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 20/09/2022 20/09/2022

Are you an LC providing online brokerage, distribution / advisory services in Hong Kong? SFC has a reminder on regulatory standards for you!