Scott Carnachan



Results 6 to 10 of 52

Consultation on Hong Kong licensing and conduct requirements for OTC derivatives

Hong Kong - January 15 2018 The Securities and Futures Commission (SFC) has recently published a consultation paper (Consultation) that proposes refinements to the scope of…

SFC tightens regulation of investment-linked assurance schemes

Hong Kong - November 24 2021 On 1 November 2021, Hong Kong’s Securities and Futures Commission (SFC) published a circular to provide additional guidance to issuers of…

Jack Hung

Reminder of extraterritorial reach of Hong Kong securities licensing regime

Hong Kong - October 4 2017 On 21 September 2017, the Eastern Magistrates’ Court convicted a Hong Kong licensed securities dealer (the HK Co) for actively marketing to the Hong…

Significant penalty for failure to comply with Hong Kong short position reporting

Hong Kong - March 25 2021 A recent Securities and Futures Commission (SFC) disciplinary action is a reminder of the need for managers to ensure there are systems and procedures…

Travis Chang

Update on Hong Kong OTC derivatives regulatory regime

Hong Kong - July 24 2018 On 27 June 2018, the Hong Kong Monetary Authority (HKMA) and Securities Futures Commission (SFC) published joint consultation conclusions on their…

Isabella Wong