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Hong Kong SFC issues operational resilience standards and recommended techniques and procedures in the age of remote working

Hong Kong - November 22 2021 On 4 October 2021, the Securities and Futures Commission (SFC) published a circular (with appendices) and a report on operational resilience and…

Hannah Cassidy, Vicky Man

Hong Kong SFC disciplines first manager-in-charge

Hong Kong - November 5 2021 The Hong Kong Securities and Futures Commission (SFC) has recently announced a Disciplinary action against a licensed corporation and its…

Hannah Cassidy, Isabelle Lamberton, Valerie Tao

Hong Kong FSTB finalises principles for regulating virtual asset service providers and other AML/CFT regulatory enhancements

Hong Kong - June 17 2021 The Financial Services and the Treasury Bureau (FSTB) has recently published the conclusions to its consultation on proposals to enhance anti-money…

Hannah Cassidy, Valerie Tao

Enhanced Hong Kong Stock Exchange disciplinary powers and sanctions to take effect on 3 July 2021

Hong Kong - June 11 2021 The Stock Exchange of Hong Kong Limited (SEHK) has recently published consultation conclusions on proposed enhancements to the listing rules (LRs)…

Jeremy Sher, Hannah Cassidy, Jeremy Shen, Jason Sung, Valerie Tao, Tommy Tong

Monetary Authority of Singapore extends mandatory reference checks proposal to stop rolling bad apples

Singapore - May 25 2021 As part of its efforts to stop ‘rolling bad apples’, the Monetary Authority of Singapore (MAS) issued a Consultation Paper on 14 May 2021 which…

Fatim Jumabhoy, Kenneth Lo, Sandra Tsao