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Global Registration Services - Market Update Q2 and Q3 2018
  • Maples and Calder
  • Luxembourg, Australia, Singapore, Switzerland, Taiwan, United Kingdom, Chile, China, European Union, Finland, Hong Kong, Ireland
  • October 17 2018

On 4 May 2018, the CBI published the 30th edition of its AIFMD Q&As. The update concerns Q&A 1083, covering loan originating QIAIFs ("LQIAIFs") and


Launch of UK-HK mutual fund recognition
  • Deacons
  • United Kingdom, Hong Kong
  • October 11 2018

Client Alert Financial Services 11 October 2018 Launch of UK-HK mutual fund recognition Jeremy Lam and Eve Leung The SFC and the UK's Financial


Mutual recognition of funds: FCA and SFC sign MoU
  • Macfarlanes LLP
  • United Kingdom, Hong Kong
  • October 10 2018

The FCA and the Securities and Futures Commission (SFC) have entered into a Memorandum of Understanding (MoU) on mutual recognition of funds, enabling


SFC Disciplinary Action - CustomerPersonal Data
  • RPC
  • Hong Kong
  • October 3 2018

On 20 September 2018, the Securities and Futures Commission ("SFC") banned an individual named Ngo Wing Chun from re-entering the industry for 12


Financial Services Update, Vol. 13, Issue 36
  • Winston & Strawn LLP
  • USA
  • October 1 2018

The Securities and Exchange Commission (“SEC”) recently charged a firm registered with the SEC as both a broker-dealer and an investment adviser in


New AMLCTF rules for money lenders in Hong Kong
  • King & Wood Mallesons
  • Hong Kong
  • September 28 2018

Hong Kong continues to keep up the pace on anti-money laundering and counter-terrorist financing (“AMLCTF”) reforms in 2018. The Companies Registry


Review of recent listings of biotechnology companies by way of Chapter 18A of the Hong Kong Main Board Listing Rules
  • King & Wood Mallesons
  • Hong Kong
  • September 28 2018

Since the new regime for listing of innovative companies was put in place four months ago, there has been a number of biotechnology companies seeking


Governance News - 24 September 2018
  • MinterEllison
  • USA, Australia, Hong Kong
  • September 24 2018

Governance News provides weekly summaries of key regulatory and governance developments in Australia and overseas. IBA Rome 2018: our international


The SFC’s asset management strategy for Hong Kong
  • Deacons
  • Hong Kong
  • September 21 2018

On 19 September 2018, Mr Ashley Alder, Chief Executive Officer of the Securities and Futures Commission (SFC), addressed members of the Hong Kong


SFC issues further reminder regarding paragraph 12.5 self-reporting obligation
  • Herbert Smith Freehills LLP
  • Hong Kong
  • September 21 2018

The SFC has issued a circular to remind intermediaries to comply with the self-reporting obligation under paragraph 12.5 of the Code of Conduct for