Legal News for Hong Kong Markets | Hauzen LLP

SFC Finds Deficiencies in LC’s Standards https://hauzen.hk/wp-content/uploads/2021/10/money-pexels-tima-miroshnichenko-6266453_1401x786sm.jpg 1401 786 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 20/09/2022 20/09/2022

Hauzen
20/09/2022

SFC Finds Deficiencies in LC’s Standards

Are you an LC providing online brokerage, distribution / advisory services in Hong Kong? SFC has a reminder on regulatory standards for you!

SFC Investor ID Regime Coming 2022Q4 https://hauzen.hk/wp-content/uploads/2021/11/personal-data-pexels-thisisengineering-3861969_1400x787sm.jpg 1400 787 Christie Liu Christie Liu https://secure.gravatar.com/avatar/0592066ee66fbb11c33d05219cd6fd06?s=96&d=mm&r=g 13/09/2022 06/10/2022

Christie Liu
13/09/2022

Securities Regulation

SFC Investor ID Regime Coming 2022Q4

SFC’s new transaction surveillance regimes come into effect soon with implications for data privacy policies and more – find out how you can get ready!

SFC’s timely reminder on NFTs https://hauzen.hk/wp-content/uploads/2021/11/nf.jpg 810 524 Kelly Ho Kelly Ho https://secure.gravatar.com/avatar/edf43aa4257659462da0e70132762ed4?s=96&d=mm&r=g 05/07/2022 01/09/2023

Kelly Ho
05/07/2022

SFC’s timely reminder on NFTs

Where an NFT is a genuine digital representation of a collectible, the activities related to it generally do not fall within the SFC’s regulatory remit. But what else should businesses look out for?

SFC reprimands & fines investment manager for failure managing private funds https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 29/06/2022 30/06/2022

Hauzen
29/06/2022

SFC reprimands & fines investment manager for failure managing private funds

SFC reprimanded and fined CES HK$3.2 million over its failure to discharge its duties as an investment manager between the period of February 2015 – July 2017.

SFC proposes amendments to Securities and Futures Ordinance to strengthen enforcement https://hauzen.hk/wp-content/uploads/2021/12/papers-pexels-brotin-biswas-518543_1400x788sm.jpg 1400 788 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 29/06/2022 30/06/2022

Hauzen
29/06/2022

SFC proposes amendments to Securities and Futures Ordinance to strengthen enforcement

The SFC is accepting comments on its proposed amendments by no later than 12 August 2022.

HKMA Discussion Paper on e-HKD https://hauzen.hk/wp-content/uploads/2018/03/bitcoin-andre-francois-mckenzie-9qpCNwDeBVU-unsplash_1400x935.jpg 1400 935 Kelly Ho Kelly Ho https://secure.gravatar.com/avatar/edf43aa4257659462da0e70132762ed4?s=96&d=mm&r=g 22/06/2022 22/06/2022

Kelly Ho
22/06/2022

Financial Markets

HKMA Discussion Paper on e-HKD

The Hong Kong Monetary Authority recently published a discussion paper inviting views on key policy and design issues for introducing e-HKD.

Hauzen LLP Announces Appointment of New Partner Anthony Woo & Promotion of Yolanda Kok to Partner https://hauzen.hk/wp-content/uploads/2022/06/Hauzen-01-logo.jpeg.jpg 304 305 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 14/06/2022 20/06/2022

Hauzen
14/06/2022

Hauzen LLP Announces Appointment of New Partner Anthony Woo & Promotion of Yolanda Kok to Partner

We are pleased to announce Anthony Woo as a Partner in insurance and marine and Yolanda Kok’s promotion to Partner in the disputes resolution team.

SCMP: UK law firm DWF enters Hong Kong market with Hauzen tie-up as events boost demand for regulatory, financial advice https://hauzen.hk/wp-content/uploads/2020/09/lippo-skyscraper-2007823_1401x787sm.jpg 1401 787 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 27/05/2022 22/05/2023

Hauzen
27/05/2022

SCMP: UK law firm DWF enters Hong Kong market with Hauzen tie-up as events boost demand for regulatory, financial advice

Manchester-based DWF teams up with local law firm Hauzen as recent events spur demand for advice from legal experts. Hong Kong views itself as the legal capital of Asia, playing host to more than half of global top 100 industry players.

Affiliation with DWF – a New Milestone for Hauzen LLP https://hauzen.hk/wp-content/uploads/2022/05/dwf2.png 842 596 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 26/05/2022 14/06/2022

Hauzen
26/05/2022

Announcements

Affiliation with DWF – a New Milestone for Hauzen LLP

We are pleased to announce our business affiliation with DWF, a global provider of integrated legal and business services.

VIDEO: Financial Regulation in Hong Kong https://hauzen.hk/wp-content/uploads/2020/09/Hauzen-LLP-Basil-Hwang_600x600sm.jpg 600 600 Basil Hwang Basil Hwang https://secure.gravatar.com/avatar/5d3f58de143db081e366aef68a3a5c15?s=96&d=mm&r=g 19/05/2022 20/05/2022

Basil Hwang
19/05/2022

VIDEO: Financial Regulation in Hong Kong

Our Basil Hwang and Kelly Ho give us an overview of the financial regulatory sector in Hong Kong.

DOJ’s Mediation Conference: Metaverse: Happily Ever After or a Dangerous Start? https://hauzen.hk/wp-content/uploads/2022/05/Mediation-Conf.png 976 554 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 11/05/2022 02/05/2023

Hauzen
11/05/2022

DOJ’s Mediation Conference: Metaverse: Happily Ever After or a Dangerous Start?

Basil Hwang’s insights on risks of cryptocurrencies, the crypto market, crypto crime, regulation, examples of enforcement actions in Hong Kong, Singapore & US.

DOJ Mediation Conference 2022 https://hauzen.hk/wp-content/uploads/2022/05/image001.jpg 667 400 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 05/05/2022 01/09/2023

Hauzen
05/05/2022

DOJ Mediation Conference 2022

Our Mr. Basil Hwang is going to speak at the Department of Justice’s mediation conference, “Mediate First: Harmony from Now to Beyond” on 6 May 2022.

HKMA Circular: Authorized Institutions and VAs https://hauzen.hk/wp-content/uploads/2022/01/bitcoin-pexels-alesia-kozik-6778581_1400x788sm.jpg 1400 788 Kelly Ho Kelly Ho https://secure.gravatar.com/avatar/edf43aa4257659462da0e70132762ed4?s=96&d=mm&r=g 31/03/2022 31/03/2022

Kelly Ho
31/03/2022

Cryptocurrency

HKMA Circular: Authorized Institutions and VAs

The HKMA recently issued a circular on regulatory approaches to Authorized Institutions’ interface with virtual assets and virtual asset service providers.

Joint Circular: Intermediaries of VA-related Activities https://hauzen.hk/wp-content/uploads/2022/01/bitcoin-pexels-alesia-kozik-6778581_1400x788sm.jpg 1400 788 Kelly Ho Kelly Ho https://secure.gravatar.com/avatar/edf43aa4257659462da0e70132762ed4?s=96&d=mm&r=g 14/03/2022 31/03/2022

Kelly Ho
14/03/2022

Joint Circular: Intermediaries of VA-related Activities

The SFC/HKMA joint-circular dated 28 January 2022 covers the provision of VA-related products, VA dealing services and VA advisory services.

Consultation on New Type 13 Regulated Activity https://hauzen.hk/wp-content/uploads/2021/02/bangkok-stairs-ryan-tang-8OyZGH43-p4-unsplash-sm.jpg 1400 788 Hauzen Hauzen https://secure.gravatar.com/avatar/89f4c19e43caa7e0225dad1d9dad1fec?s=96&d=mm&r=g 08/03/2022 24/03/2022

Hauzen
08/03/2022

Consultation on New Type 13 Regulated Activity

In Feb 2022, SFC released its Consultation Conclusions on the Proposed Regulatory Regime for Depositaries of SFC-authorised Collective Investment Schemes.

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