financial regulatory

HKCFA Upholds SFC’s Powers Against Foreign Defendants
HKCFA Upholds SFC’s Powers Against Foreign Defendants 1920 1081 Hauzen LLP
The Hong Kong CFA confirms the SFC’s power to seek various orders from the Hong Kong court against foreign defendants without requiring leave.

HKMA’s Circular on Access to Banking Services
HKMA’s Circular on Access to Banking Services 1400 788 Byron Chow
Advancing financial inclusion and customer fair treament while authorized institutions adopting a proportionate and effective risk-based approach to AML & CFT.

PCPD Issues Guidance Note on Data Security Measures
PCPD Issues Guidance Note on Data Security Measures 1400 787 Hauzen LLP
With data breaches and compliance actions on the rise, the Office of the Privacy Commissioner for Personal Data issued new guidance on data security measures.

New Inspection Regime for Personal Info on Companies Register
New Inspection Regime for Personal Info on Companies Register 1400 787 Hauzen LLP
Changes aim to enhance protection of sensitive personal information while keeping transparency and usefulness of Companies Register for legitimate purposes.

VIDEO: Financial Regulation in Hong Kong
VIDEO: Financial Regulation in Hong Kong 600 600 Basil Hwang
Our Basil Hwang and Kelly Ho give us an overview of the financial regulatory sector in Hong Kong.

Consultation on New Type 13 Regulated Activity
Consultation on New Type 13 Regulated Activity 1400 788 Hauzen LLP
In Feb 2022, SFC released its Consultation Conclusions on the Proposed Regulatory Regime for Depositaries of SFC-authorised Collective Investment Schemes.

HKEx’s disciplinary action against Coolpad Group Limited and six former directors
HKEx’s disciplinary action against Coolpad Group Limited and six former directors 1402 790 Hauzen LLP
On 24 August 2021, The Stock Exchange of Hong Kong Limited censured Coolpad Group Limited (Stock Code: 2369) and six former directors.
Financial Services Regulation

HKEx Publishes Listed Issuer Regulation Newsletter
HKEx Publishes Listed Issuer Regulation Newsletter 1920 1080 Hauzen LLP
Including an update on listed issuers meeting financial reporting obligations during Covid-19, guidance on lending transactions, confirmation on material loan arrangements of counterparties with connected persons when vetting notifiable transactions, and listed issuers’ spin-off activities.

FSTB Concludes Landmark Consultation on New Licensing Regime for VASPs
FSTB Concludes Landmark Consultation on New Licensing Regime for VASPs 1400 788 Basil Hwang
Proposal has received broad support from respondents, who understand the importance of regulating VASPs in fulfilment of the obligations outlined by the FATF.

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.
Back to top
Privacy Preferences

When you visit our website, it may store information through your browser from specific services, usually in the form of cookies. Here you can change your Privacy preferences. It is worth noting that blocking some types of cookies may impact your experience on our website and the services we are able to offer.  View our Legal Notices

For performance and security reasons we use Cloudflare
required
Click to enable/disable Google Analytics tracking code.
Click to enable/disable Google Fonts.
Click to enable/disable Google Maps.
Click to enable/disable video embeds.
Our website uses cookies, including from 3rd party services. Define your Privacy Preferences and/or agree to our use of cookies.