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Hong Kong: Securities and Futures Commission’s first disciplinary action against a Manager-In-Charge for Compliance for overseas compliance failures

Hong Kong - November 14 2022 The Hong Kong Securities and Futures Commission’s (SFC) “Manager in Charge” (MIC) regime, which aims to heighten senior management accountability…

Karen H.Y. Man, Bryan Ng, Cheryl Tang, Cynthia Y.S. Tang

Hong Kong: Securities and Futures Commission's first disciplinary action against a Manager-In-Charge for Compliance for overseas compliance failures

Hong Kong - October 24 2022 In Brief The Hong Kong Securities and Futures Commission's (SFC) "Manager in Charge" (MIC) regime, which aims to heighten senior management…

Karen H.Y. Man, Bryan Ng, Cheryl Tang, Cynthia Y.S. Tang

Hong Kong: SFC Releases Consultation Conclusions and Commences further consultation on proposed depositaries (RA 13) regime

Hong Kong - March 23 2022 The Securities and Futures Commission ("SFC") recently released the Consultation Conclusions on the Proposed Regulatory Regime for Depositaries of…

Aaron Dauber, Sophia Man

Hong Kong: New SFC requirements for climate-related risks: how do they affect fund managers?

Hong Kong - October 29 2021 On 20 August 2021, the Securities and Futures Commission (SFC) released the Consultation Conclusions on the Management and Disclosure of…

Tiffany Cheng, Aaron Dauber, Karen H.Y. Man

Hong Kong: Changes to the competence and training requirements for personnel of financial intermediaries

Hong Kong - September 9 2021 The Securities and Futures Commission (SFC) recently released its Consultation Conclusions ("Conclusions") on Proposed Enhancements to the…

Aaron Dauber, Karen H.Y. Man