SFC Authorisation for Leveraged and Inverse Products
The Supplemental Circular on Leveraged and Inverse Products dated 23 December 2016 details the requirements...
Insights Archive:
Backdoor Licensing, Managers-In-Charge of Core Functions and the Legal Liabilities of Senior Management
Those who pay for an existing licensed corporation as a "backdoor licence" may not avoid...
SFC Publishes Statement on Recent GEM Listing Applications and the Requirement for an Open Market
The SFC has Published a Statement on Recent Applications to List on GEM by way...
SFC Publishes Consultation on Amendments to the Professional Investor Rules
SFC Publishes Consultation on Amendments to the Professional Investor Rules expanding the definition of Corporate...
Private: European Chamber of Commerce Paper on Hong Kong Fintech
European Chamber of Commerce Publishes Position Paper on Hong Kong Fintech including Key Recommendations on...
SFC and HKEX Impose New Requirements for Listing Applicants, Sponsors, Underwriters and Placing Agents of GEM IPOs
SFC and Exchange Joint Statement and SFC Guideline Imposes New Obligations on Listing Applicants, Sponsors,...
Hong Kong is World’s Top IPO Fundraising Market in 2016 while Listed Debt Turnover Rises 126 percent on 2015
Hong Kong was the world’s largest IPO market in 2016 raising US$25.1 billion in 120...
SFC Issues New Guidance on Licensed Intermediaries’ Suitability Obligations
SFC Issues New Guidance on compliance with licensed intermediaries’ obligation to ensure the suitability of...
New SFC Measures to Increase the Accountability of Licensed Corporations’ Senior Management
SFC Circular Introduces New Measures to Increase the Accountability of Licensed Corporations’ Senior Management and...
SFC Consults on Proposals to Tighten Regulation of Fund Managers and Point-of-sale Disclosure
SFC Consultation Paper Proposes Tightening Regulation of Hong Kong Fund Managers and Increasing their Point-of-Sale...