News

Read our expert legal news and briefings on Hong Kong’s financial services sector and capital markets.
SFC and FRC conclude MOU to strengthen regulation of capital markets
SFC and FRC conclude MOU to strengthen regulation of capital markets 1402 790 Charing

SFC and FRC conclude MOU to strengthen regulation of capital markets

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

HKEx Publishes its Latest Review of Listed Issuers’ Corporate Governance Practices
HKEx Publishes its Latest Review of Listed Issuers’ Corporate Governance Practices 1920 1080 Emma

HKEx Publishes its Latest Review of Listed Issuers’ Corporate Governance Practices

December 2020, The Stock Exchange of Hong Kong Limited (HKEx) published the findings of its latest review of listed issuers’ corporate governance practices.

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

SFC concludes Consultation on Amendments to the Securities and Futures (Professional Investor) Rules

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

2021-22 Budget Speech – Update on Open-ended Fund Companies and Limited Partnership Funds
2021-22 Budget Speech – Update on Open-ended Fund Companies and Limited Partnership Funds 1400 789 Charing

2021-22 Budget Speech – Update on Open-ended Fund Companies and Limited Partnership Funds

The Financial Secretary announced legislative proposal to allow foreign investment funds to re-domicile to Hong Kong for registration as OFCs or LPFs and planned incentives in the form of subsidies for OFCs set or re-domiciled to Hong Kong.

HKEx Publishes Review of Listed Issuers’ Annual Report Disclosure – COVID-19 and Other Issues
HKEx Publishes Review of Listed Issuers’ Annual Report Disclosure – COVID-19 and Other Issues 1920 1080 Emma

HKEx Publishes Review of Listed Issuers’ Annual Report Disclosure – COVID-19 and Other Issues

January 2021, The Stock Exchange of Hong Kong Limited (HKEx) published a report on the findings and recommendations from a review of listed issuers’ annual reports issued for 2019

Hong Kong & Mainland China Sign Supplemental Arrangement for Mutual Enforcement of Arbitral Awards
Hong Kong & Mainland China Sign Supplemental Arrangement for Mutual Enforcement of Arbitral Awards 1400 788 Charing

Hong Kong & Mainland China Sign Supplemental Arrangement for Mutual Enforcement of Arbitral Awards

November 2020, Hong Kong and Mainland China signed the Supplemental Arrangement Concerning Mutual Enforcement of Arbitral Awards to make several amendments

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

SFC published FAQ Guidance on Use of External Electronic Data Storage by Licensed Corporations

SFC published Frequently Asked Questions December 2020 providing guidance to licensed corporations on the use of external electronic data storage.

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 Charing

SFC’s Consultation on Investor Identification & Over-the-counter Securities Transactions Reporting Regimes

The deadline for the consultation period is fast approaching and currently set to be 4 March 2021. Learn more about the proposed regimes here.

Mutual Recognition of Funds between Thailand & Hong Kong
Mutual Recognition of Funds between Thailand & Hong Kong 1400 788 Hauzen

Mutual Recognition of Funds between Thailand & Hong Kong

On 20 Jan 2021, SFC & SEC entered into MoU to allow eligible Hong Kong and Thai public funds to be distributed in each other’s markets through streamlined process

The Wire China: China’s Global Treasure Map
The Wire China: China’s Global Treasure Map 2048 1536 Hauzen

The Wire China: China’s Global Treasure Map

Basil Hwang quoted in The Wire China’s article on Chinese tycoons hunting around the world for the best places to stash their spoils.

Bloomberg: Hong Kong Sanctions Could Threaten Banks 1288 682 Hauzen

Bloomberg: Hong Kong Sanctions Could Threaten Banks

Josephine Chung, director and founder of CompliancePlus Consulting, discusses how western banks are walking a tight rope when it comes to their operations and obligations…

SFC Warns Private Equity Firms on Hong Kong Licensing
SFC Warns Private Equity Firms on Hong Kong Licensing 1400 788 Hauzen

SFC Warns Private Equity Firms on Hong Kong Licensing

It has been nearly two decades since commencement of the current Securities and Futures Commission (SFC) licensing regime. The relevant legislation, the Securities and Futures…

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