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SFC Publishes Consultation Conclusions on OTC Derivatives and Conduct Risks

Hong Kong Law

January 2019

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Charltons - Hong Kong Law - 435 - 11 January 2019

Hong Kong OTC Derivative

Code of Conduct for Persons Licensed by or Registered with the SFC

SFC licensed corporation

Derivatives Hong Kong licensing requirement

Licensed Corporation SFC Code of Conduct

OTC derivative centrally cleared

Regulated activity type 11

providing clearing agency services for OTC derivatives transactions

Dealing in OTC derivatives

Consultation Conclusions on (1) the OTC derivatives regime for Hong Kong – Proposed requirements in relation to OTC derivative risk mitigation and client clearing; and (2) Proposed conduct requirements to address risks posed by group affiliates

Advising on OTC derivatives Hong Kong

Client agreement licensed corporation Hong Kong