Articles
Hong Kong SFC licensing and compliance hints - November 2022
Hong Kong - November 23 2022 An exemption from re-taking the HKSI licensing exams is available for individuals seeking to re-enter the industry, provided the following conditions…
Hong Kong SFC licensing and compliance hints - May 2022
Hong Kong - May 24 2022 The licensed firm would need to obtain the SFC’s prior approval for the person to be an authorised officer for signing financial resources returns by…
Hong Kong SFC licensing and compliance hints - November 2021
Hong Kong - November 24 2021 The new financial return form will become effective on 1 January 2022 so licensed firms need to start…
Hong Kong SFC licensing and compliance hints
Hong Kong - April 22 2021 Intermediaries who store regulatory records exclusively with overseas…
SFC consultation on investor identification and reporting regime
Hong Kong - January 26 2021 On 4 December 2020, Hong Kong’s Securities and Futures Commission (SFC) published its Consultation on proposals to (1) implement an investor…
