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


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


International Regulatory Update 30 January - 03 February 2017
  • Clifford Chance LLP
  • China, European Union, Germany, Hong Kong, United Kingdom, USA
  • February 7 2017

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


Financial Regulatory Developments Focus January 25, 2017
  • Shearman & Sterling LLP
  • European Union, Global, Hong Kong, Ireland, United Kingdom, USA
  • January 25 2017

On January 18, 2017, the US Board of Governors of the Federal Reserve System finalized a rule increasing the maximum civil money penalty limits for


Financial Services Update, Vol. 12, Issue 3
  • Winston & Strawn LLP
  • Hong Kong, USA
  • January 23 2017

As the Trump administration begins its first full week in the White House, regulatory uncertainty has hit multiple industries. For example, the final


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
  • European Union, Hong Kong, Luxembourg, Singapore, Switzerland, Thailand
  • January 17 2017

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