Securities Regulation
  • Christie Liu

SFC Investor ID Regime Coming 2022Q4
SFC Investor ID Regime Coming 2022Q4 1400 787 Christie Liu
SFC’s new transaction surveillance regimes come into effect soon with implications for data privacy policies and more – find out how you can get ready!

SFC’s timely reminder on NFTs
SFC’s timely reminder on NFTs 810 524 Kelly Ho
Where an NFT is a genuine digital representation of a collectible, the activities related to it generally do not fall within the SFC’s regulatory remit. But what else should businesses look out for?

SFC reprimands & fines investment manager for failure managing private funds
SFC reprimands & fines investment manager for failure managing private funds 1400 788 Hauzen
SFC reprimanded and fined CES HK$3.2 million over its failure to discharge its duties as an investment manager between the period of February 2015 – July 2017.

SFC proposes amendments to Securities and Futures Ordinance to strengthen enforcement
SFC proposes amendments to Securities and Futures Ordinance to strengthen enforcement 1400 788 Hauzen
The SFC is accepting comments on its proposed amendments by no later than 12 August 2022.

Joint Circular: Intermediaries of VA-related Activities
Joint Circular: Intermediaries of VA-related Activities 1400 788 Kelly Ho
The SFC/HKMA joint-circular dated 28 January 2022 covers the provision of VA-related products, VA dealing services and VA advisory services.

Consultation on New Type 13 Regulated Activity
Consultation on New Type 13 Regulated Activity 1400 788 Hauzen
In Feb 2022, SFC released its Consultation Conclusions on the Proposed Regulatory Regime for Depositaries of SFC-authorised Collective Investment Schemes.

SFC Bans Mr. Poon Chun Hing From Re-entering Industry for Life
SFC Bans Mr. Poon Chun Hing From Re-entering Industry for Life 1400 788 Hauzen
Readers are reminded to be alert if approached with securities & futures investments or dealing with anyone claiming they are licensed / registered in Hong Kong

Joint Operation by Hong Kong & Singapore Regulators & Police on Cross Border Ramp-and-dump Syndicate
Joint Operation by Hong Kong & Singapore Regulators & Police on Cross Border Ramp-and-dump Syndicate 1400 787 Hauzen
10 individuals, believed to be key members of the syndicate, including some senior executives of Hong Kong listed companies were arrested.

Insurance Authority Reprimands & Fines Insurer for Contraventions of AML & CTF Ordinances
Insurance Authority Reprimands & Fines Insurer for Contraventions of AML & CTF Ordinances 1400 788 Hauzen
MetLife (now FWD Life) & Metropolitan Life Insurance (now FWD Life Assurance) fined HK$7 million. It is clear that the IA takes these failures very seriously.

SFC Reprimands & Fines Fulbright Securities $3.3M, Suspends License of RO
SFC Reprimands & Fines Fulbright Securities $3.3M, Suspends License of RO 1400 788 Hauzen
Key takeaway is that SFC won’t hesitate to sanction both licensed corporation and licensed person and attribute the misconduct to licensed person.
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