News

Read our expert legal news and briefings on Hong Kong’s financial markets, logistics and technology.
SFC Bans Mr. Poon Chun Hing From Re-entering Industry for Life 1400 788 Charing

SFC Bans Mr. Poon Chun Hing From Re-entering Industry for Life

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 1400 787 Charing

Joint Operation by Hong Kong & Singapore Regulators & Police on Cross Border Ramp-and-dump Syndicate

10 individuals, believed to be key members of the syndicate, including some senior executives of Hong Kong listed companies were arrested.

Exchange Published Conclusions on Review of Corporate Governance Code 1920 1080 Emma

Exchange Published Conclusions on Review of Corporate Governance Code

Amended Listing Rules and CG Code came into effect on 1 Jan 2022, and will apply to CG reports for financial year commencing on or after 1 Jan 2021.

Insurance Authority Reprimands & Fines Insurer for Contraventions of AML & CTF Ordinances 1400 788 Charing

Insurance Authority Reprimands & Fines Insurer for Contraventions of AML & CTF Ordinances

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.

Employment & Retirement Schemes Legislation (Offsetting Arrangement) (Amendment) Bill 2022 Gazetted 1400 788 Charing

Employment & Retirement Schemes Legislation (Offsetting Arrangement) (Amendment) Bill 2022 Gazetted

Abolishes use of accrued benefits of employers’ mandatory contributions under Mandatory Provident Fund scheme to offset severance payment & long service payment.

Discussion Paper: Crypto-assets & Stablecoins 1400 788 Kelly

Discussion Paper: Crypto-assets & Stablecoins

The HKMA has issued a discussion paper on crypto-assets and stablecoins, inviting views on potential regulatory approaches until 22 March 2022.

High Court Finds “No Consent Regime” Unlawful 1401 786 Kelly

High Court Finds “No Consent Regime” Unlawful

While the implications of this decision remain to be seen, victims of fraud are still recommended to make a police report in any event.

SFC Reprimands & Fines Fulbright Securities $3.3M, Suspends License of RO 1400 788 Charing

SFC Reprimands & Fines Fulbright Securities $3.3M, Suspends License of RO

Key takeaway is that SFC won’t hesitate to sanction both licensed corporation and licensed person and attribute the misconduct to licensed person.

Insurance Authority Publishes an Explanatory Note on “Regulated Activity” 1400 788 Charing

Insurance Authority Publishes an Explanatory Note on “Regulated Activity”

An important consideration for currently unregulated entities providing insight into IA’s assessment whether activities will or won’t fall under regulatory regime of Insurance Ordinance.

Public Consultation on HK’s Copyright Regime 1400 788 Kelly

Public Consultation on HK’s Copyright Regime

This much-anticipated consultation is based on the key proposals contained in the 2014 Bill, which could not survive the previous legislative process.

Exchange Published Conclusions on Reforms to Enhance Listing Regime for Overseas Issuers 1400 788 Emma

Exchange Published Conclusions on Reforms to Enhance Listing Regime for Overseas Issuers

To enhance and streamline the listing regime for overseas issuers. The amended Listing Rules and the new guidance materials will take effect from 1 January 2022.

Court Finds Trio Insider Dealing in TeleEye Shares & Order Disgorgement of Profits 1400 788 Charing

Court Finds Trio Insider Dealing in TeleEye Shares & Order Disgorgement of Profits

We remind the reader that there are serious consequences to insider dealing and for failing to respond to SFC’s enquiries and investigation. 

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