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2017 Mid-Year Cross-Border Government Investigations and Regulatory Enforcement Review
  • Baker & Hostetler LLP
  • Canada, European Union, Hong Kong, Ireland, United Kingdom, USA
  • September 20 2017

Welcome to BakerHostetler’s semi-annual Cross-Border Government Investigations and Regulatory Enforcement Review, with this edition delivering news


Changes to Financial Resources Rules
  • Deacons
  • Hong Kong
  • September 19 2017

Following its initial consultation in 2015 on changes to the Securities and Futures (Financial Resources) Rules (FRR), the Securities and Futures


Blockchain and Cryptocurrency: The Emerging Regulatory Framework
  • Steptoe & Johnson LLP
  • Canada, Hong Kong, USA
  • September 13 2017

This summer, US and international regulators have brought enforcement actions, issued guidance and explanatory documents, and sharpened


Derivatives Quarterly Newsletter: 2nd Quarter 2017
  • Sidley Austin LLP
  • Global, Hong Kong, USA
  • August 10 2017

On May 3, 2017, the CFTC voted to propose amendments (Proposed Amendment) to certain CFTC regulations (Existing CCO Rules) governing the duties and


SFC licensing and compliance hints
  • Deacons
  • Hong Kong
  • August 4 2017

If your company has any MICs for Overall Management Oversight or Key Business Lines who are not yet approved as responsible officers, it is about time


Proposed profits tax exemption for HK private open-ended funds
  • Deacons
  • Hong Kong
  • August 4 2017

The Inland Revenue (Amendment) (No. 4) Bill 2017 (Bill) proposes a profits tax exemption for privately offered Hong Kong open-ended fund companies


Renewed SFC focus on private funds and discretionary accounts
  • Deacons
  • Hong Kong
  • August 4 2017

Hong Kong’s Securities and Futures Commission (SFC) issued a circular on 31 July 2017 highlighting potential regulatory concerns identified as a


Hong Kong legal and regulatory agenda for the fund management industry
  • Deacons
  • Hong Kong
  • July 28 2017

In January 2017 we published a Hong Kong legal and regulatory agenda for the fund management industry, which provided a summary of key legislative and


Hong Kong SFC consults on new rules and code for open-ended fund company structure
  • Herbert Smith Freehills LLP
  • Hong Kong
  • July 21 2017

On 28 June 2017, the Securities and Futures Commission (SFC) launched a two-month consultation (Consultation) on the detailed legal and regulatory


CFTC Fines Hong Kong-based Commodities Dealer USD 225,000 for Reporting Violations
  • Baker McKenzie
  • Hong Kong, USA
  • July 19 2017

The CFTC fined the Hong Kong-based cotton dealer for failure to regularly file its CFTC Form 304, a form used to report cotton call sales and