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Results: 1-10 of 606

Regulatory minefield: What is on the regulators’ recent agenda
  • Clyde & Co LLP
  • Hong Kong
  • March 29 2017

Stricter regulations and tighter control for the securities market is a growing trend across the world. The Hong Kong market is presently faced with


Mandatory e-filing of disclosure of interests will come into effect in July 2017
  • Deacons
  • Hong Kong
  • March 28 2017

On 24 March 2017, the Securities and Futures (Amendment) Ordinance 2014 (the “Amendment Ordinance”) (Commencement) Notice 2017 was gazetted to bring


Malaysian National Sentenced by Singapore Court to 16 Weeks Imprisonment for Stock-Based Spoofing; PRC Resident Fined by China Regulator for Similar Conduct
  • Katten Muchin Rosenman LLP
  • Hong Kong, Malaysia
  • March 26 2017

Dennis Tey Thean Yang, a Malaysian national, was sentenced to 16 weeks imprisonment by a Singapore judge after he pleaded guilty to charges that he


International Regulatory Update 27 February - 03 March 2017
  • Clifford Chance LLP
  • Global, Hong Kong, USA
  • March 7 2017

Clifford Chance's International Regulatory Update is a weekly digest of significant regulatory developments affecting banking and investment banking


Consultation Paper on Amendments to the Professional Investor Rules in Hong Kong - the SFC Seeks the Industry’s Feedback
  • Eversheds Sutherland (International) LLP
  • Hong Kong
  • March 3 2017

The Securities and Futures (Professional Investor) Rules (the "PI Rules") are the framework which set out the hurdles which must be met in order to


Derivatives Quarterly Newsletter: 4th Quarter 2016
  • Sidley Austin LLP
  • United Kingdom, USA, European Union, Global, Hong Kong
  • February 21 2017

On October 11, 2016, the CFTC proposed rules (Proposed Cross-Border Rules) that address the cross-border application of certain of the CFTC's swaps


HK Regulator Sanctions Retail FX Dealer for Not Disclosing Slippage Handling Procedures That Harmed Investors
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • February 12 2017

The Hong Kong Securities and Futures Commission fined GMO-Z.com Forex HK Limited HK $1.6 million (approximately US $206,000) for failing to disclose


The Manager-in-Charge Regime: Ruffling feathers in the year of the Rooster? - Practical considerations for licensed corporations
  • Allen & Overy LLP
  • Hong Kong
  • February 10 2017

On 16 December 2016, the Securities and Futures Commission (SFC) issued a Circular to Licensed Corporations entitled Augmenting the Accountability of


The Manager-in-Charge Regime: Ruffling feathers in the year of the Rooster? - Augmenting or extending senior management accountability?
  • Allen & Overy LLP
  • Hong Kong
  • February 9 2017

Senior management accountability has been a priority of global financial services conduct regulators in recent years. One need only look to a speech


The Manager-in-Charge Regime: Ruffling feathers in the year of the Rooster? - An Overview
  • Allen & Overy LLP
  • Hong Kong
  • February 9 2017

On 16 December 2016, the Securities and Futures Commission (SFC) announced the introduction of a Manager-inCharge initiative (MIC Regime) aimed at