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Results: 1-10 of 661

Hong Kong SFC consults on new rules and code for open-ended fund company structure
  • Herbert Smith Freehills LLP
  • Hong Kong
  • July 21 2017

On 28 June 2017, the Securities and Futures Commission (SFC) launched a two-month consultation (Consultation) on the detailed legal and regulatory


Competence requirements for asset managers
  • Deacons
  • Hong Kong
  • July 18 2017

On 23 June 2017, the Securities and Futures Commission (SFC) issued a circular to clarify the competence requirements for Type 9 (asset management


Compliance and control issues for futures brokers
  • Deacons
  • Hong Kong
  • July 18 2017

On 22 June 2017, the Securities and Futures Commission (SFC) issued a circular on (i) key regulatory concerns about retail futures brokers following


The Financial Report, 13 July 2017, News from Asia and the Pacific
  • DLA Piper LLP
  • Asia-Pacific, Australia, Hong Kong, Japan, Singapore
  • July 13 2017

Procedures concerning Foreign Account Management Institutions. The FSA published application and notification method and sample forms concerning


OTC Derivative Regulatory Regime In Hong Kong - What’s Next?
  • Baker McKenzie
  • Hong Kong
  • June 29 2017

The OTC derivative regulatory regime in Hong Kong is being implemented in phases. This briefing is designed to update market participants on the


Hong Kong Consultation on Guidelines on Online Distribution and Advisory Platforms
  • Dechert LLP
  • Hong Kong
  • June 26 2017

The use of online platforms for distribution of financial products has become increasingly popular in Hong Kong. In May 2017, the Hong Kong Securities


The Financial Report, 22 June 2017, News from Asia and the Pacific
  • DLA Piper LLP
  • Australia, Hong Kong, Japan, Singapore, Asia-Pacific
  • June 22 2017

Recommendation by the Advisory Group on Supervisory Approaches. The FSA announced its provisional translation of the Advisory Group on


SFC proposes baseline cyber security requirements for internet trading
  • Hogan Lovells
  • Hong Kong
  • May 17 2017

The Hong Kong Securities and Futures Commission ("SFC") has issued a paper containing proposals to introduce cyber security guidelines under the


Mandatory Electronic Filing of Disclosure of Interests to Commence in July 2017
  • Allen & Overy LLP
  • Hong Kong
  • May 17 2017

The Hong Kong Government and the Securities and Futures Commission (SFC) have announced the introduction of mandatory electronic filing (Mandatory


Derivatives Quarterly Newsletter: 1st Quarter 2017
  • Sidley Austin LLP
  • Global, Hong Kong, USA
  • May 16 2017

On January 5, 2017, the CFTC approved the NFA's amendment to NFA Compliance Rule 2-36, which requires forex dealer members to provide customers with