SFC

Passage of AML and CTF (Amendment) Bill 2022
Passage of AML and CTF (Amendment) Bill 2022 1400 788 Hauzen
The amended AMLCTFO will come into effect in phases in 2023Q2 to provide industries concerned with sufficient time to prepare for new regulatory requirements.

Hong Kong Wah Kiu Investment Co Ordered to Compensate Clients
Hong Kong Wah Kiu Investment Co Ordered to Compensate Clients 1400 788 Hauzen
The SFC’s investigation reveals intent to defraud or deceive and orders HKWKICL clients compensated

Hong Kong Embraces Cryptocurrency: Get Ready for New VASP Regime
Hong Kong Embraces Cryptocurrency: Get Ready for New VASP Regime 1400 787 Basil Hwang
Operating a virtual asset in Hong Kong? Learn what you need to do to get ready for the new SFC legislation starting 01 June 2023!

SFC Suspends RO of Rifa Futures Ltd for Breach of KYC, AML & CFT Reqs
SFC Suspends RO of Rifa Futures Ltd for Breach of KYC, AML & CFT Reqs 1401 786 Hauzen
SFC taking much stronger approach against failure to adhere to KYC, AML & CFT standards. Mere for-show due-diligence and monitoring checks will not suffice.

SFC Finds Deficiencies in LC’s Standards
SFC Finds Deficiencies in LC’s Standards 1401 786 Hauzen
Are you an LC providing online brokerage, distribution / advisory services in Hong Kong? SFC has a reminder on regulatory standards for you!
  • Christie Liu

SFC Investor ID Regime Coming 2022Q4
SFC Investor ID Regime Coming 2022Q4 1400 787 Christie Liu
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
SFC’s timely reminder on NFTs 810 524 Kelly Ho
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
SFC reprimands & fines investment manager for failure managing private funds 1400 788 Hauzen
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
SFC proposes amendments to Securities and Futures Ordinance to strengthen enforcement 1400 788 Hauzen
The SFC is accepting comments on its proposed amendments by no later than 12 August 2022.

Joint Circular: Intermediaries of VA-related Activities
Joint Circular: Intermediaries of VA-related Activities 1400 788 Kelly Ho
The SFC/HKMA joint-circular dated 28 January 2022 covers the provision of VA-related products, VA dealing services and VA advisory services.
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.

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, mainly from 3rd party services. Define your Privacy Preferences and/or agree to our use of cookies.