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Results: 1-10 of 1,191

Implications for robo-advisers

Deacons
United Kingdom, Hong Kong
June 13 2018

On 28 March 2018 Hong Kong’s SFC published the consultation conclusions on proposed Guidelines on Online Distribution and Advisory Platforms. At the

Foreign financial services providers may require an AFSL under ASIC’s proposals

Hall & Wilcox
USA, Australia, Hong Kong
June 5 2018

Foreign financial services providers providing unlicensed financial services to wholesale clients in Australia may be required to hold a modified AFSL

Distributors and financial advisers: Are you prepared for the enhanced point-of-sale transparency requirements?

Baker McKenzie
Hong Kong
May 31 2018

The Securities and Futures Commission (SFC) published its Consultation Conclusions on Proposals to Enhance Asset Management Regulation and

Hong Kong SFC Issues Disclosure Requirements for Discretionary Accounts

Herbert Smith Freehills LLP
Hong Kong
May 29 2018

On 23 May 2018, the Securities and Futures Commission (SFC) published its consultation conclusions on disclosure requirements for discretionary

Hong Kong SFC Issues Disclosure Requirements For Discretionary Accounts

Herbert Smith Freehills LLP
Hong Kong
May 29 2018

On 23 May 2018, the Securities and Futures Commission (SFC) published its consultation conclusions on disclosure requirements for discretionary

SFC’s suggested controls on the use of instant messaging

Deacons
Hong Kong
May 21 2018

The Securities and Futures Commission (SFC) has published suggested controls for intermediaries using instant messaging (IM) applications in a

SFC licensing and compliance hints - 21 May 2018

Deacons
Hong Kong
May 21 2018

The SFC issued a press release on 11 May 2018 concerning an individual’s conviction for failing to disclose a criminal conviction in his SFC licence

Are you ready for the changes to the Fund Manager Code of Conduct?

Deacons
Hong Kong
May 21 2018

On 16 November 2017, the Securities and Futures Commission (SFC) published the conclusions of its consultation on Proposals to Enhance Asset

Hong Kong SFC Provides Update on MIC Regime And Announces Thematic Review Of Licensed Corporations' Governance

Herbert Smith Freehills LLP
Hong Kong
May 18 2018

In the latest issue of its SFC Compliance Bulletin: Intermediaries published on 16 May 2018, the Securities and Futures Commission (SFC) provides an

SFC obtained statutory relief for investors in relation to a listed company's misconduct

Bird & Bird
Hong Kong
May 17 2018

In a recent decision Securities and Futures Commission v Qunxing Paper Holdings Co Ltd (No 2) 2018 1 HKLRD 1060, the Hong Kong court adopted a

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