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Circular regarding self examination of control and procedures on suitability obligations

Freshfields Bruckhaus Deringer LLP
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Hong Kong
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April 7 2009

On 23 February 2009, the Hong Kong Securities and Futures Commission (SFC) issued a circular to remind intermediaries who make investment recommendations or solicitations to clients to conduct a formal self examination of their controls and procedures to ensure compliance with applicable suitability obligations under the Code of Conduct for Persons Licensed by or Registered with the SFC

Investment-linked insurance contracts in China and Hong Kong

Freshfields Bruckhaus Deringer LLP
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China, Hong Kong
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June 10 2009

Recent developments in the regulation of sales of investment-linked insurance in China and Hong Kong are designed to enlighten investors about the risks involved in such investments

Court of Final Appeal to consider the scope of section 213(6) of SFO to grant injunctions in aid of SFC investigations

Freshfields Bruckhaus Deringer LLP
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Hong Kong
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February 17 2010

The Court of Final Appeal has granted leave to appeal a decision of the Court of Appeal which upheld restraining orders made under section 213(6) of the SFO in aid of an insider dealing probe

SFC commences action against Lehman Brothers over documents

Freshfields Bruckhaus Deringer LLP
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Hong Kong
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August 6 2009

The SFC has applied to the High Court for an order directing Lehman Brothers Asia Ltd to comply with a SFC notice to produce certain records in connection with its investigation of the offer and marketing of Minibonds

Implementation of recommendations in the HKMA's report on issues concerning the distribution of structured products connected to Lehman Brothers

Freshfields Bruckhaus Deringer LLP
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Hong Kong
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April 7 2009

On 9 January 2009, the HKMA issued a circular requesting all registered institutions (RIs) to:implement a number of recommendations set out in the HKMA's report on the sale of structured products related to Lehman Brothers in accordance with a specified timeframe; andformulate an implementation plan for discussion with the HKMA by end of March 2009

Hong Kong banks set up sub-branches in Foshan, Guangdong province

Freshfields Bruckhaus Deringer LLP
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Hong Kong
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February 17 2010

Hang Seng Bank and Bank of East Asia are amongst the first banks in Hong Kong to set up sub-branches in Foshan under the new Sixth Supplement to the Mainland and Hong Kong Closer Economic Partnership Arrangement (CEPA

Hong Kong’s harshest penalty imposed for insider trading

Freshfields Bruckhaus Deringer LLP
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Hong Kong
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November 11 2009

On 10 September 2009, a former managing director of Morgan Stanley Asia Ltd was found guilty in the District Court of nine counts of insider dealing and one count of procuring his wife to deal in shares of CITIC Resources Holdings during an M&A transaction in 2007

SFC issues guide to educate investors

Freshfields Bruckhaus Deringer LLP
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Hong Kong
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November 11 2009

The SFC recently published a simple guide to raise the public’s understanding of the financial markets

Court continues freezing orders against ex-GOME chairman and wife

Freshfields Bruckhaus Deringer LLP
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Hong Kong
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November 11 2009

On September 2009, the High Court ordered Shinning Crown Holdings Inc and Shine Group Ltd (the two companies associated with former chairman of GOME Mr Wong Kwong Yu and his wife Ms Du Juan) not to dispose of, deal with or encumber 779,255,678 shares of GOME pending further order for the purposes of the legal proceedings initiated by the SFC

HKMA issues new measures for residential mortgage loans

Freshfields Bruckhaus Deringer LLP
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Hong Kong
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November 11 2009

In light of recent rise in property prices, the HKMA has reminded authorised institutions to ensure that their lending criteria remain sound and prudent

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