SFC

SFC concludes Consultation on Amendments to the Securities and Futures (Professional Investor) Rules
SFC concludes Consultation on Amendments to the Securities and Futures (Professional Investor) Rules 1402 790 Hauzen LLP
May 2018, the SFC published the Consultation Conclusions on the Proposed Amendments to the Securities and Futures (Professional Investor) Rules.

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.

Mutual Recognition of Funds between Thailand & Hong Kong
Mutual Recognition of Funds between Thailand & Hong Kong 1400 788 Hauzen LLP
On 20 Jan 2021, SFC & SEC entered into MoU to allow eligible Hong Kong and Thai public funds to be distributed in each other’s markets through streamlined process

SFC Warns Private Equity Firms on Hong Kong Licensing
SFC Warns Private Equity Firms on Hong Kong Licensing 1400 788 Hauzen LLP

It has been nearly two decades since commencement of the current Securities and Futures Commission (SFC) licensing regime. The relevant legislation, the Securities and Futures Ordinance, originally specified nine types…

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 concludes consultation on prescribing professional investors
SFC concludes consultation on prescribing professional investors 1401 790 Hauzen LLP

The Securities and Futures Commission (“SFC”) today released consultation conclusions on proposed amendments to the Securities and Futures (Professional Investor) Rules (“PI Rules”) to standardise the rules for prescribing professional…

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…

SFC proposes enhancements to the Investor Compensation Regime
SFC proposes enhancements to the Investor Compensation Regime 1400 789 Hauzen LLP

The Securities and Futures Commission (SFC) today launched a two-month consultation on proposed enhancements to the Investor Compensation Regime. Key proposals include increasing the compensation limit from $150,000 to $500,000 per investor…

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