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Results: 1-10 of 980

Hong Kong SFC publishes consultation conclusions on asset management regulation and launches further consultation
  • Herbert Smith Freehills LLP
  • Hong Kong
  • November 21 2017

On 16 November 2017, the Securities and Futures Commission (SFC) in Hong Kong published its consultation conclusions on proposals to enhance asset


SFC publishes consultation conclusions on enhancing regulation of Asset Management industry and point-of-sale transparency and launches further consultation
  • Herbert Smith Freehills LLP
  • Hong Kong
  • November 17 2017

Yesterday, the Securities and Futures Commission (SFC) published its consultation conclusions on proposals to enhance asset management regulation and


Hong Kong regulators warn of common instances of non-compliance in asset management
  • Herbert Smith Freehills LLP
  • Hong Kong
  • November 14 2017

The Hong Kong Securities and Futures Commission (SFC) has recently conducted around 250 inspections of licensed corporations engaged in asset


Regulators Warn Of Common Instances Of Non-Compliance In Asset Management
  • Greenwoods & Herbert Smith Freehills Pty Ltd
  • Australia
  • November 13 2017

The SFC has recently conducted around 250 inspections of licensed corporations engaged in asset management business, and has identified a number of


SFC licensing and compliance hints
  • Deacons
  • Hong Kong
  • November 13 2017

Regulated entities require staff members to make declarations disclosures to the company regarding a wide variety of information on an on-going


SFC abolishes need for address verification
  • Deacons
  • Hong Kong
  • November 13 2017

Licensed corporations no longer need to obtain verification of their customers’ addresses for anti-money laundering purposes after a circular from the


SFC issues Guidelines for Reducing and Mitigating Hacking Risks Associated with Internet Trading
  • Deacons
  • Hong Kong
  • November 13 2017

On 27 October 2017, Hong Kong’s Securities and Futures Commission (SFC) issued its Consultation Conclusions on Proposals to Reduce and Mitigate


SFC announces thematic review of prime services activities
  • Deacons
  • Hong Kong
  • November 13 2017

The Securities and Futures Commission (SFC) announced on 30 October 2017 that it has commenced a thematic review of prime services and related equity


Hong Kong SFC publishes consultation conclusions and guidelines for reducing and mitigating hacking risks related to internet trading
  • Herbert Smith Freehills LLP
  • Hong Kong
  • November 10 2017

On 27 October 2017, the Securities and Futures Commission (SFC) in Hong Kong issued a circular and Guidelines for Reducing and Mitigating Hacking


SFC publishes consultation conclusions and guidelines for reducing and mitigating hacking risks related to internet trading
  • Herbert Smith Freehills LLP
  • Hong Kong
  • November 9 2017

On 27 October 2017, the Securities and Futures Commission (SFC) issued a circular and Guidelines for Reducing and Mitigating Hacking Risks Associated