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Heading towards a paperless Judiciary

On 8 January 2020, the Court Proceedings (Electronic Technology) Bill was introduced into LegCo for its first reading.The Bill’s main object is to enable the use of electronic… LEARN MORE

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CFA’s reformulation of the test for money laundering offence

Previously we reported on the two important Court of Final Appeal (CFA) cases of HKSAR v Pang Hung Fai (2014) 17 HKCFAR 778 and HKSAR v Yeung Ka Sing Carson (2016) 19 HKCFAR 279… LEARN MORE

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Dealing with Further and Better Particulars

The recent case of Chan Luen v Chan Kwong Chi (HCA 1038/2018) highlights the importance of proper drafting of an order requiring a party to provide further and better particulars… LEARN MORE

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SFC licensing and compliance hints: points to note for your annual regulatory filings

The year is coming to an end. A corporation licensed with the Securities and Futures Commission (SFC) which adopted 31 December as its financial year-end and common anniversary… LEARN MORE

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Regulatory focus on the suitability obligation

The suitability principle is one of the cornerstones of investor protection. It has been an area of increasing focus for regulators around the world. The suitability principle… LEARN MORE

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SFC licensing and compliance hints

You will need a new licence if the activity is not “incidental” anymore! There are various situations in which a firm can be exempted from having to have an SFC licence and one… LEARN MORE

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Mainland China briefing: foreign ownership limits

On 11 October 2019, the China Securities Regulatory Commission (CSRC) released in a press conference the time frame for removal of limits on foreign stakes in financial services… LEARN MORE

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SFC reprimands and fines bank HK$400 million

The Securities and Futures Commission (SFC) has publicly reprimanded and fined a bank HK$400 million in relation to overcharging practices and related internal control failures.… LEARN MORE

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The UK FCA finds three asset management firms in violation of competition laws
19 November 2019, Investment Funds, Newsletter, by Sharon Pang,

The UK’s Financial Conduct Authority (FCA) issued its first formal ruling under its competition enforcement powers on 22 May 2019 against three asset management companies. Hargreave… LEARN MORE

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Opt-in regulation of virtual asset trading platforms

The Securities and Futures Commission (SFC) has announced a regulatory regime that virtual asset trading platforms operating in Hong Kong can opt into, provided that at least… LEARN MORE

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