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New Guidance Note on Cooperation with the SFC and its Benefits
Yesterday, the Securities and Futures Commission (the SFC) published its Guidance Note on Cooperation with the SFC (the Guidance). The Guidance contains …
Video: The top 5 class action predictions for 2018
Partner Jason Betts discusses the top 5 predictions in class actions that have the potential to affect corporate clients. The …
SFC publishes consultation conclusions on enhancing regulation of asset management industry and point-of-sale transparency and launches further consultation
Yesterday, the Securities and Futures Commission (SFC) published its consultation conclusions on proposals to enhance asset management regulation and …
HKMA continues its focus on corporate governance with circular to harmonise section 72B with "manager in charge" regime
Yesterday, the Hong Kong Monetary Authority (HKMA) introduced by way of a circular new measures to heighten management accountability at Registered …
New regulatory trial grounds for fintech firms in Hong Kong - Regulators announce additional fintech sandboxes
Last Friday (29 September 2017), Hong Kong financial regulators announced new initiatives aimed at fintech firms, including several new regulatory …
Regulators around the world become more vocal regarding the potential risks associated with ICOs
The rapid rise of initial coin offerings (ICOs) this year has prompted heightened scrutiny by regulators globally. On 4 September 2017, seven major …
Spotlight on investor protection: the Financial Dispute Resolution Centre implements a more moderate package of reforms
The Financial Dispute Resolution Centre (FDRC) has issued its conclusions to its consultation on proposals to significantly expand the jurisdiction of …
Independent Insurance Authority commences regulation of insurers with enhanced powers
With effect from yesterday (26 June 2017), the independent Insurance Authority (IA) assumed its regulatory responsibilities and replaced the Office of …
Herbert Smith Freehills leads ASIFMA member working group to formulate Best Practices for Effective Development of Fintech
The Asia Securities Industry and Financial Markets Association (ASIFMA) released on Friday afternoon its guide, Best Practices for Effective Development …
SFC ISSUES FURTHER GUIDANCE ON SUITABILITY OBLIGATIONS – THE CORNERSTONE OF INVESTOR PROTECTION
As foreshadowed in the Consultation Conclusions on the Proposed Amendments to the Professional Investor Regime and Further Consultation on the Client …
SFC ANNOUNCES “MANAGER IN CHARGE” REGIME TO HEIGHTEN SENIOR MANAGEMENT ACCOUNTABILITY FOR FINANCIAL INSTITUTIONS IN HONG KONG
In its recent circular (with annexes 1 and 2 and a set of FAQs), the Securities and Futures Commission (SFC) introduced new measures to heighten the …
SFC CONFIRMS ENFORCEMENT PRIORITIES AND APPROACH FOLLOWING STRATEGIC REVIEW
In its recently relaunched Enforcement Reporter newsletter (see first issue), the Securities and Futures Commission (SFC) has confirmed that corporate …
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