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SFC licensing and compliance hints

SFC introduces new template letter to protect client assets According to the SFC’s circular of 8 July 2019, SFC licensed corporations (LCs) which hold client assets will need… LEARN MORE

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The SFC’s current supervisory priorities and hot topics

At the SFC’s Compliance Forum held on 17 June 2019, the SFC communicated its key priorities relating to the asset management industry. These issues are likely to be at the core… LEARN MORE

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Hong Kong’s asset and wealth management business reaches HK$23,955 billion

On 26 July 2019, the Securities and Futures Commission (SFC) released its annual Asset and Wealth Management Survey (AWMAS) report for the year ended 31 December 2018, which found… LEARN MORE

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SFC Annual Report 2018/2019

On 19 June, the SFC published its latest Annual Report, which covers the 12 month period up to 31 March 2019. As in previous years, the report provides a good summary of what… LEARN MORE

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SFC issues warning on dealings with Mainland investors – issues for LCs to consider

On 17 June 2019, the Securities and Futures Commission (SFC) issued a circular to licensed corporations (LCs), which conduct business in Hong Kong, concerning matters of Mainland… LEARN MORE

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Liquidity risks in investment funds: a look at the regulatory environment

On 18 July 2019, the International Organization of Securities Commissions (IOSCO) published a statement in response to commentary on whether its Recommendations for Liquidity… LEARN MORE

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Adjusting the regulatory framework for cross-border transfer of personal information – China releases Measures for Security Assessment of Cross-border Transfer of Personal Information (draft for public comments)

Following the publication of the Measures for Data Security Management (draft for public comments)1 on 28 May 2019, the Cyberspace Administration of China further released the… LEARN MORE

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New rules to combat backdoor listings will take effect in October 2019

On 26 July 2019, The Stock Exchange of Hong Kong Limited (Exchange) announced conclusions on its consultation paper published last June regarding backdoor listing, continuing… LEARN MORE

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The SFC’s account opening requirements

What did the SFC publish on 28 June? The Securities and Futures Commission (SFC) issued the following items on 28 June 2019: Circular - Amendments to paragraph 5.1 of the Code… LEARN MORE

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Conduct questions and whistleblowing: a look at the FCA and the SFC

In April 2019 the UK’s Financial Conduct Authority (FCA) published its Approach to Supervision feedback statement and, in May 2019, a paper on “Progress and challenges” 5 Conduct… LEARN MORE

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