Rebecca Yip

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Hong Kong SFC licensing and compliance hints

Hong Kong - January 26 2021 Electronic data storage: has the company identified where its regulatory records are stored electronically and with whom, in compliance with the FAQs…

Applications for new insurance intermediary licences by deemed licensees

Hong Kong - September 22 2020 Hong Kong’s Insurance Authority (IA) became the regulator of all insurance intermediaries on 23 September 2019. All insurance agencies and insurance…

Scott Carnachan.

Hong Kong SFC licensing and compliance hints

Hong Kong - August 25 2020 If licensed companies allow their staff to work from home, they should ensure that letters or other correspondence sent to the…

SFC submission deadline for BRMQs is 30 April 2020

Hong Kong - April 20 2020 Client Alert Financial Services 20 April 2020 SFC submission deadline for BRMQs is 30 April 2020 Rebecca Yip Securities and Futures Commission (SFC)…

《业务及风险管理问卷》的最后提交日2020年4月30日

Hong Kong - April 20 2020 财政年度结束于 12 月 31 日的证券及期货事务监察委员会(证监会)持牌公司必须在今年 4 月 30 日或之前向证监会呈 交新版的《业务及风险管理问卷》(BRMQ)(连同其经审计账目) 。…