Securities Regulation

SFC’s Consultation Conclusions on Proposals to (1) Implement an Investor Identification Regime and (2) Introduce an Over-The-Counter Securities Transactions Reporting Regime
SFC’s Consultation Conclusions on Proposals to (1) Implement an Investor Identification Regime and (2) Introduce an Over-The-Counter Securities Transactions Reporting Regime 1401 789 Hauzen LLP

Further to our article on the Securities and Futures Commission’s (the “SFC”) consultation on the investor identification regime and an over-the-counter securities transactions reporting regime, on 10 August 2021, the…

SFC Licensed Intermediaries: A reminder of your self-reporting obligation
SFC Licensed Intermediaries: A reminder of your self-reporting obligation 1400 788 Hauzen LLP
If you are a SFC-licensed intermediary, then you are subject to the self-reporting obligation as set out in paragraph 12.5 of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (the “Code”).

SFC’s new initiative to warn against unauthorised investment schemes
SFC’s new initiative to warn against unauthorised investment schemes 1401 788 Hauzen LLP
The Securities and Futures Commission (the “SFC”) launched a new initiative to warn the public against unauthorised investment arrangements which are suspected to be collective investment schemes (“CIS”).

SFC’s Circular to licensed corporations – Operation of Bank Accounts
SFC’s Circular to licensed corporations – Operation of Bank Accounts 1401 788 Hauzen LLP
The Securities and Futures Commission (“SFC”) issued a circular to licensed corporations (“LC”) on 28 June 2021 warning against unsatisfactory practices in the operation of bank accounts of LCs (the “Circular”). 

SFC suspends a Responsible Officer of GEO Securities Ltd
SFC suspends a Responsible Officer of GEO Securities Ltd 1400 788 Hauzen LLP
The Hong Kong Securities and Futures Commission suspends a Responsible Officer of GEO for breach of licensing conditions.

The Securities and Futures Commission (the “SFC”) reprimanded and fined Ewarton Securities Limited
The Securities and Futures Commission (the “SFC”) reprimanded and fined Ewarton Securities Limited 1400 788 Hauzen LLP
The Securities and Futures Commission reprimanded and fined Ewarton Securities Limited for internal control failings and breaches of the SFC’s Code of Conduct.

Market Misconduct Tribunal sanctions two former executives for insider dealing
Market Misconduct Tribunal sanctions two former executives for insider dealing 1402 790 Hauzen LLP
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 LLP
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 LLP
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 LLP
FSTB published consultation paper proposeing to introduce a licensing regime for virtual assets services providers (“VASPs”).  The consultation period ended on 31 January 2021.
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