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Results: 1-10 of 1,103

SFC Issues Guidance On Best Execution Following Thematic Review
  • Herbert Smith Freehills LLP
  • Hong Kong
  • February 20 2018

On 30 January 2018, the Securities and Futures Commission (SFC) issued a circular to set out its guidance on the standards expected of licensed


Hong Kong regulators take action against cryptocurrency exchanges and ICOs
  • K&L Gates
  • Hong Kong
  • February 12 2018

Hong Kong’s Securities and Futures Commission (“SFC”) have issued formal warnings to seven cryptocurrency exchanges and seven issuers of initial coin


Hong Kong Securities and Futures Commission Proposes Raising Whitewash Approval Threshold
  • Jones Day
  • Hong Kong
  • February 12 2018

The high level of certainty of obtaining shareholders' approval for whitewash waivers could lead to potential abuse by parties looking to obtain or


Hong Kong takes action against cryptocurrency exchanges and ICO issuers
  • Hogan Lovells
  • Hong Kong
  • February 12 2018

What has happened? Hong Kong's securities regulator has stepped up its efforts to regulate the cryptocurrency market. What does this mean? In a


Bridging the Week by Gary DeWaal: February 5 to 9, and February 12, 2018 (New Crypto Regulator? Spoofing Appealed Again Examination Priorities)
  • Katten Muchin Rosenman LLP
  • USA, Hong Kong
  • February 11 2018

Last week, the chairmen of the Commodity Futures Trading Commission and the Securities and Exchange Commission provided their insight into the risks


Hong Kong regulator warns of cryptocurrency risks
  • RPC
  • Hong Kong
  • February 9 2018

The Hong Kong Securities and Futures Commission is the latest regulator to warn cryptocurrency exchanges against engaging in regulated activity and


Five takeaways from the SFC’s recent AML seminar
  • Deacons
  • Hong Kong
  • February 7 2018

The SFC’s recent AML and CTF seminar, held before Christmas, is instructive. Senior management and in particular the Manager-in-Charge (MIC) for AML


Governance & Securities Law Focus: Asia Edition - February 2018
  • Shearman & Sterling LLP
  • USA, Asia-Pacific, United Kingdom, European Union, Hong Kong
  • February 7 2018

On 11 December 2017, the Securities and Futures Commission of Hong Kong (SFC) issued a circular, which reminds financial service providers of the


Misuse of Personal Data
  • Deacons
  • Hong Kong
  • January 29 2018

Use of clients’ personal data for an unauthorised purpose may result in suspension from the securities industry by the Securities and Futures


HK Securities Regulator Bans Individual Registrant Six Months for Emailing Himself Customer Information Prior to Departing Employer
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • January 28 2018

The Securities and Futures Commission of Hong Kong banned Chan Wai Nun from all industry activity for six months for transferring to himself client