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New documentation & notification requirements under ORSO

The Occupational Retirement Schemes (Amendment) Ordinance 2020 (Amendment Ordinance) became effective on 26 June 2020. The Amendment Ordinance stipulated certain new documentation… LEARN MORE

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Hong Kong SFC licensing and compliance hints

SFC licensed firms to be paid a 12-month salary subsidy for each eligible new hire The HKSAR government announced the launch of another wage subsidy plan under the Anti-epidemic… LEARN MORE

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Hong Kong SFC COVID-19 quarterly report

On 20 August 2020, the Securities and Futures Commission (SFC) published its Quarterly Report of developments occurring during the period 1 April to 30 June 2020 (available here).… LEARN MORE

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Another Hong Kong SFC enforcement case on providing false or misleading information in licensing applications and annual return and failure to notify changes

A former licensee was convicted by the Eastern Magistrates’ Court on 3 September 2020 of providing false or misleading information to the Hong Kong Securities and Futures Commission… LEARN MORE

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Mainland China briefing: recent developments in fund custody businesses for local branches of foreign banks
22 September 2020, Investing in China , Regulatory , Investment Funds, Newsletter, by Shanshan Liu, Faye Meng

On 10 July 2020, the China Securities Regulatory Commission (CSRC) and the China Banking and Insurance Regulatory Commission (CBIRC) jointly issued the amended Administrative… LEARN MORE

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SFC product applications: submission by soft copy and alternatives for signing application documents

Hong Kong’s Securities and Futures Commission (SFC) has recently updated its Frequently Asked Questions (FAQs) in relation to authorized unit trusts and mutual funds, leverage… LEARN MORE

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Hong Kong’s first licensed cryptocurrency exchange

The Securities and Futures Commission (SFC) has agreed in principle to issue a licence to cryptocurrency firm OSL Digital Securities Ltd (OSL) to operate a virtual asset trading… LEARN MORE

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Applications for new insurance intermediary licences by deemed licensees

Hong Kong’s Insurance Authority (IA) became the regulator of all insurance intermediaries on 23 September 2019. All insurance agencies and insurance broker companies, their respective… LEARN MORE

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SFC clarifies licensing obligation and CPI assessment criteria for family offices

Hong Kong’s Securities and Futures Commission (SFC) published a circular on 7 January 2020 on the licensing obligations of family offices. This has now been supplemented by FAQs… LEARN MORE

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Key takeaways from the SFC’s Asset and Wealth Management Activities Survey

On 25 August 2020, Hong Kong’s Securities and Futures Commission (SFC) published its findings on the annual Asset and Wealth Management Activities Survey for the year ended 31… LEARN MORE

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