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Results: 1-10 of 553

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


International Regulatory Update 24 - 28 October 2016
  • Clifford Chance LLP
  • European Union, Global, Hong Kong, United Kingdom, USA
  • November 1 2016

The EU Commission has published its Work Programme for 2017, setting out the list of actions it will take in the coming twelve months. The Commission


Cyber Security Quarterly Round-Up - October 2016
  • Herbert Smith Freehills LLP
  • USA, Australia, Hong Kong, United Kingdom
  • October 24 2016

Cyber security affects all businesses and industries and is a Board level agenda item. Our quarterly eBulletin provides a round-up of best practice


Cybersecurity in Hong Kong: SFC’s review of brokers’ internet and mobile trading systems
  • Herbert Smith Freehills LLP
  • Hong Kong
  • October 20 2016

On 13 October 2016, the Securities and Futures Commission (SFC) announced it had issued a circular launching a cybersecurity review with a focus on


International Regulatory Update 10 - 14 October 2016
  • Clifford Chance LLP
  • Hong Kong, USA
  • October 18 2016

The European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) have both published their work programmes for 2017


Governance & Securities Law Focus: Europe Edition, October 2016
  • Shearman & Sterling LLP
  • Germany, Hong Kong, Italy, United Kingdom, USA
  • October 17 2016

On 15 September 2016, the European Parliament resolved to adopt amendments to the European Commission's proposal for a new Prospectus Regulation to


The Financial Report, 13 October 2016, News from Asia and the Pacific
  • DLA Piper LLP
  • Australia, Hong Kong, Singapore
  • October 13 2016

The SFC reminded all relevant market participants that effective March 14, 2017, reporting will be required for reportable short positions in all