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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…

Grace Fung, 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…

Grace Fung, Bryan Ng, Cheryl Tang, Cynthia Y.S. Tang

Crypto Boot Camp Training Series

European Union, Switzerland, United Kingdom, USA - December 9 2021 Course overview The recent increase in value of cryptoassets as an investment class along with media coverage associated with high profile large…

Iris Barsan, Roger van de Berg, Jennifer Connors, Bill Fuggle, Julian Hui, Samuel G. Kramer, Stephanie Magnus, Dr. Yves Mauchle, Sue McLean, A. Valerie Mirko, Christopher Murrer, Kullarat Phongsathaporn

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, Grace Fung

Global Financial Services Regulatory Guide - October 2021

Global - October 6 2021 The financial services industry is undergoing sweeping changes driven by regulatory developments, rapidly advancing technology, ESG concerns and…