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Important Hong Kong Decision Broadens Scope of Disclosure for SFC in Disqualification Proceedings
  • Dorsey & Whitney LLP
  • Hong Kong
  • January 23 2017

In December 2016, the High Court of Hong Kong ordered the Securities and Futures Commission ("SFC") to disclose all relevant materials obtained in

International Regulatory Update 09 - 13 January 2017
  • Clifford Chance LLP
  • Thailand, European Union, Hong Kong, Luxembourg, Singapore, Switzerland
  • January 17 2017

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

Hong Kong Regulatory Newsletter
  • Sidley Austin LLP
  • Canada, Hong Kong, USA
  • December 22 2016

Hong Kong's Market Misconduct Tribunal (MMT), the statutory tribunal established to adjudicate civil contraventions of the Securities and Futures

New senior management accountability regime for SFC licensed corporations
  • Deacons
  • Hong Kong
  • December 22 2016

On 16 December 2016, Hong Kong's Securities and Futures Commission (SFC) announced a new initiative to augment the accountability of senior management

Consultation launched on proposed regulations on protected arrangements following enactment of the financial institutions (resolution) ordinance
  • Herbert Smith Freehills LLP
  • Hong Kong
  • December 6 2016

The Financial Institutions (Resolution) Ordinance (Ordinance), which sets out the framework for a cross-sector regime for the orderly resolution of

Mutual Recognition of Funds - Switzerland and Hong Kong
  • Deacons
  • Hong Kong, Switzerland
  • December 5 2016

Similar to the mutual recognition of funds scheme between Mainland China and Hong Kong (Mainland-HK MRF), Securities and Futures Commission (SFC) has

Shanghai-Hong Kong Stock Connect: CSRC and SFC jointly tackle market manipulation
  • Clifford Chance LLP
  • China, Hong Kong
  • November 24 2016

The China Securities Regulatory Commission (CSRC) and the Securities and Futures Commission of Hong Kong (SFC) have joined forces to successfully

Hong Kong SFC Enforcement Trends
  • O'Melveny & Myers LLP
  • Hong Kong
  • November 22 2016

In a speech given earlier this month, the new Hong Kong Securities & Futures Commission (SFC) Director of Enforcement Thomas Atkinson provided some

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds
  • Proskauer Rose LLP
  • European Union, Hong Kong, Ireland, OECD, United Kingdom, USA
  • November 15 2016

On March 10, 2016, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released a

Derivatives Quarterly Newsletter: 3rd Quarter 2016
  • Sidley Austin LLP
  • Global, Hong Kong, USA
  • November 10 2016

CFTC Staff Issues Advisory Reminding Futures Commission Merchants and Introducing Brokers of Compliance Requirements Regarding Suspicious Activity