Archived Post for "Hong Kong Law"

Download the PDF Download the Word On 20 December 2019, the Securities and Futures Commission (SFC) announced the publication of a Consultation Paper on Proposed Enhancements to the Open-ended Fund Companies (OFC) Regime. The consultation is open...

Download the PDF Download the Word The Securities and Futures Commission (SFC) has published the findings of its Survey on Integrating Environmental, Social and Governance (ESG) Factors and Climate Risks in Asset Management which investigated how, and to...

Download the PDF Download the Word On 6 December 2019, the Stock Exchange of Hong Kong Limited (HKEx) announced the publication of a Consultation Paper on proposals to review the listing regime for debt issues to professional investors only set out...

Download the PDF Download the Word On 21 November 2019, the Securities and Futures Commission (SFC) issued a Statement on the Disclosure of Actual Controllers or Beneficial Owners of Counterparties to a Transaction [1]  and a Circular to Licensed...

Download the PDF Download the Word Licensed Corporations’ Compliance with Statutory Record-Keeping Obligations Scope of the Circular on Licensed Corporations’ Use of External Electronic Data Storage Requirements for Regulatory Records Kept Exclusively with an External...

Download the PDF Download the Word Alternative Procedures for U.S. ‘Domestic Issuers’ that are not ‘Reporting Issuers’ Listing on HKEx Template for HKEx Acceptable Jurisdiction Applications Updated CCASS Information Materials Enhanced guidance materials aimed at...

Download the PDF Download the Word The SFC issued a Position Paper: Regulation of Virtual Asset Trading Platforms (SFC Position Paper) on 6 November 2019, setting out new regulations for licensing cryptocurrency exchanges with a strong emphasis on investor...

SFC licensing conditions for managers of funds whose stated investment objective is investing in virtual assets, or intending to invest 10% of a fund’s GAV in virtual assets

HKEx’s research report highlights the potential for development of Mainland-HK ETF market connectivity to boost both markets given demand from Mainland investors for greater access to globalised assets and global investors’ interest in accessing ETFs on Mainland as…

SFC fined HSBC for its internal control failure to ensure timely detection of any failure of the recording function of its telephone lines which breached Paragraph 3.9(b) of the SFC Code of Conduct.