financial regulatory

The HKMA publishes AML/CFT Regtech: Case Studies and Insights
The HKMA publishes AML/CFT Regtech: Case Studies and Insights 1400 786 Hauzen LLP
January 2021, the Hong Kong Monetary Authority published a report highlighting the opportunities that Regulatory Technology offers.

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 Hauzen LLP
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

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.

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.

Short Selling – Recent Regulatory Reform
Short Selling – Recent Regulatory Reform 1401 788 Hauzen LLP
Global practices with respect to selling regulations are considered in the context of Hong Kong which has taken a more stringent approach to reporting requirements, compared to UK, Australia & Singapore.

Short Selling Regulation
Short Selling Regulation 1401 788 Hauzen LLP
This practice note provides the framework and restrictions for conducting short-selling lawfully under Part VII of the Securities and Futures Ordinance (Cap 571).

Market Misconduct Regulations in Hong Kong
Market Misconduct Regulations in Hong Kong 1400 788 Hauzen LLP
Insight into the Securities and Futures Ordinance (Cap 571) (SFO) and its ‘dual’ approach to breaches, which can see both civil cases and criminal charges being brought.

The Regulation of Crowd-funding in Hong Kong
The Regulation of Crowd-funding in Hong Kong 1401 787 Hauzen LLP
Unlike other commonwealth jurisdictions such as the UK and New Zealand, Hong Kong has yet to introduce regulations which specifically address the control or facilitation of crowd-funding activities.

SFC sets out new regulatory approach for virtual assets
SFC sets out new regulatory approach for virtual assets 1400 935 Hauzen LLP
SFC issued a statement setting out a new approach which aims to bring virtual asset portfolio managers and distributors of virtual asset funds under its regulatory net.

SFC reprimands and fines Citigroup Global Markets Asia Limited $57 million for sponsor failures
SFC reprimands and fines Citigroup Global Markets Asia Limited $57 million for sponsor failures 1402 790 Hauzen LLP

The Securities and Futures Commission (“SFC”) has reprimanded and fined Citigroup Global Markets Asia Limited (“Citi”) $57 million after resolving concerns with Citi over its discharge of duties as a…

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