Mary Nieto

Deacons

Articles

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Conduct questions and whistleblowing: a look at the FCA and the SFC

Hong Kong - July 25 2019 In April 2019 the UK’s Financial Conduct Authority (FCA) published its Approach to Supervision feedback statement and, in May 2019, a paper on...

Economic substance requirements - a quandary for offshore investment managers

Hong Kong - May 22 2019 Many offshore law firms and other fund service providers have been publishing bulletins about the enactment by traditional offshore jurisdictions of...

Scott Carnachan.

Legislation for LegCo’s 2018 - 2019 session

Hong Kong - September 19 2018 Hong Kong’s Legislative Council (LegCo) 2018 - 2019 session will commence on 10 October 2018 with an address by the Chief Executive. A legislative...

Policies and procedures under the FMCC

Hong Kong - September 19 2018 The SFC’s revised Fund Manager Code of Conduct (FMCC), which comes into effect on 17 November 2018, makes reference to a number of policies...

SFC focuses on margin financing

Hong Kong - August 27 2018 On 3 August 2018, the Securities and Futures Commission (SFC) issued a circular regarding arrangements which might involve a licensed corporation (LC)...