Securities Regulation

Market Misconduct Tribunal sanctions two former executives for insider dealing
Market Misconduct Tribunal sanctions two former executives for insider dealing 1402 790 Hauzen
In April 2021, following legal proceedings brought by the SFC, the MMT sanctioned two former executives of Asia Telemedia Limited (now known as Yunfeng Financial Group Limited) – Mr Charles Yiu Hoi Ying and Ms Marian Wong Nam.

SFC Press Release – Investigation Updates
SFC Press Release – Investigation Updates 1400 788 Hauzen
SFC and Police launched joint operation against listed company and senior executives for market misconduct, and revoke revokes IDS Forex HK Limited’s licence and permanently bans its former co-CEOs from re-entering the industry.

The Insurance Authority welcomes Pilot Insurance-linked Securities Grant Scheme
The Insurance Authority welcomes Pilot Insurance-linked Securities Grant Scheme 1401 789 Hauzen
The Financial Secretary the Paul Chan delivered his 2021-22 budget speech on 24 February 2021 proposing to launch a two-year pilot insurance-linked securities grant scheme to attract insurance enterprises or organisations to issue insurance-linked securities in Hong Kong.

FSTB Consultation paper on new licensing regime for virtual assets services providers
FSTB Consultation paper on new licensing regime for virtual assets services providers 1400 935 Hauzen
FSTB published consultation paper proposeing to introduce a licensing regime for virtual assets services providers (“VASPs”).  The consultation period ended on 31 January 2021.

Consultation Conclusions on Proposed Amendments to the Code on Real Estate Investment Trusts
Consultation Conclusions on Proposed Amendments to the Code on Real Estate Investment Trusts 1401 789 Hauzen

On 9 June 2020, the Securities and Futures Commission (the “SFC”) issued a Consultation Paper on the Proposed Amendments to the Code on Real Estate Investment Trusts (the “REITs”) (the…

SFC’s Consultation Paper on proposal to amend its Anti-Money Laundering and Counter-Financing of Terrorism Guidelines
SFC’s Consultation Paper on proposal to amend its Anti-Money Laundering and Counter-Financing of Terrorism Guidelines 1400 788 Hauzen
The SFC published a consultation paper on proposed amendments to (1) the Guideline on AML/CFT (For Licensed Corporations) and (2) the Prevention of Money Laundering and Terrorist Financing Guideline issued by the SFC for Associated Entities

SFC consults on conduct requirements for bookbuilding and placing activities
SFC consults on conduct requirements for bookbuilding and placing activities 1402 790 Hauzen
On 8 February 2021, the Securities and Futures Commission published a consultation paper on conduct requirements for capital market transactions in Hong Kong.

SFC’s Consultation Paper on amendments to the Code on Pooled Retirement Funds
SFC’s Consultation Paper on amendments to the Code on Pooled Retirement Funds 150 150 Hauzen
The comment period of the Securities and Future Commission’s (“SFC”) public consultation paper (the “Consultation”) on proposed amendments to the Code on Pooled Retirement Funds (the “Code”) has recently come to an end.

SFC consults on the Management and Disclosure of Climate-related Risks by Fund Managers
SFC consults on the Management and Disclosure of Climate-related Risks by Fund Managers 1400 788 Hauzen
In October 2020, the SFC published a consultation paper on the Management and Disclosure of Climate-related Risks by Fund Managers proposing to amend the Fund Manager Code of Conduct.

SFC’s Consultation Paper on Proposed Enhancements to the Competency Framework for Intermediaries and Individual Practitioners
SFC’s Consultation Paper on Proposed Enhancements to the Competency Framework for Intermediaries and Individual Practitioners 1920 1080 Hauzen
In December 2020, the SFC published a Consultation Paper on Proposed Enhancements to the Competency Framework for Intermediaries and Individual Practitioners.
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