Securities Regulation

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 LLP
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 LLP
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 LLP
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 LLP
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.
Financial Services Regulation

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 LLP
In December 2020, the SFC published a Consultation Paper on Proposed Enhancements to the Competency Framework for Intermediaries and Individual Practitioners.

SFC and FRC conclude MOU to strengthen regulation of capital markets
SFC and FRC conclude MOU to strengthen regulation of capital markets 1402 790 Hauzen LLP
SFC and FRC entered into new MOU for enhanced cooperation measures for regulation of PIE Auditors and the compliance by listed entities of regulatory requirements in financial reporting

SFC concludes Consultation on Amendments to the Securities and Futures (Professional Investor) Rules
SFC concludes Consultation on Amendments to the Securities and Futures (Professional Investor) Rules 1402 790 Hauzen LLP
May 2018, the SFC published the Consultation Conclusions on the Proposed Amendments to the Securities and Futures (Professional Investor) Rules.

SFC published FAQ Guidance on Use of External Electronic Data Storage by Licensed Corporations
SFC published FAQ Guidance on Use of External Electronic Data Storage by Licensed Corporations 1400 787 Hauzen LLP
SFC published Frequently Asked Questions December 2020 providing guidance to licensed corporations on the use of external electronic data storage.
Financial Services Regulation

SFC’s Consultation on Investor Identification & Over-the-counter Securities Transactions Reporting Regimes
SFC’s Consultation on Investor Identification & Over-the-counter Securities Transactions Reporting Regimes 1920 1080 Hauzen LLP
The deadline for the consultation period is fast approaching and currently set to be 4 March 2021. Learn more about the proposed regimes here.

HKEx Consultation Conclusion: Backdoor Listing, Continuing Listing Criteria and Other Rule Amendments
HKEx Consultation Conclusion: Backdoor Listing, Continuing Listing Criteria and Other Rule Amendments 1400 788 Hauzen LLP

In recent years, the popularity of backdoor listings has resulted in a substantial increase in the value of a company solely for its listing status, leading to extensive activities related…

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