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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… 獲取更多資訊

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Mainland China briefing: foreign ownership limits
2019年 11月 20日, 投資於中國 , 投資基金, Newsletter, by Shanshan Liu,

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… 獲取更多資訊

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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.… 獲取更多資訊

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The UK FCA finds three asset management firms in violation of competition laws
2019年 11月 20日, 投資基金, 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… 獲取更多資訊

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Opt-in regulation of virtual asset trading platforms
2019年 11月 20日, 證監會合規與發牌 , 證券及期貨事務監察委員會 , 監管 , 投資基金, Newsletter, by Scott Carnachan, Isabella Wong

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… 獲取更多資訊

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Use of external electronic data storage by SFC licensed corporations

The Securities and Futures Commission (SFC) issued a circular on 31 October 2019 (Circular) setting out the applicable requirements for a licensed corporation (an LC) to use external… 獲取更多資訊

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Court rules on meaning of “default” in construction contract
2019年 11月 20日, 建造, Newsletter, by Joseph Chung,

In the recent case of Network Rail Infrastructure Ltd v ABC Electrification Ltd [2019] EWHC 1769 (TCC), England’s Technology and Construction Court had to interpret the term “default”… 獲取更多資訊

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Court refuses to remit case back to arbitral tribunal for second time
2019年 11月 20日, 建造, Newsletter, by Kwok Kit Cheung,

In a previous article we reported on the decision in P v M [2018] HKCFI 2280, whereby the Court held that the arbitral tribunal had failed to comply with section 46(3)(b) of the… 獲取更多資訊

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Court held that arbitration clause in head contract was not incorporated into sub-contract
2019年 11月 20日, 建造, Newsletter, by Justin Yuen,

In Yun Kwan Construction Engineering Ltd v Shui Tai Construction Engineering Co Ltd, [2019] HKCFI 1841, the sole issue was whether the arbitration clause contained in the contracts… 獲取更多資訊

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The importance of monitoring time limits when enforcing arbitral awards
2019年 11月 20日, 建造, Newsletter, by Kwok Kit Cheung,

In the recent case of Wang Peiji v Wei Zhiyong, HCMP 571/2019, the Plaintiff had been granted leave to enforce in Hong Kong an arbitration award made by the Guangzhou Arbitration… 獲取更多資訊

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