by teddyromulo | Feb 18, 2020 | Hong Kong Law
Download the PDF Download the Word SFC Reported Cases for Compliance Failures under the Securities and Futures Ordinance: mid-December 2019 to mid-February 2020 The SFC has published updates on over ten disciplinary actions and related prosecutions between 17 December...
by teddyromulo | Feb 14, 2020 | Hong Kong Law
Download the PDF Download the Word On 4 February 2020, in light of travel restrictions that have arisen in response to the outbreak of the corona virus, the Securities and Futures Commission (the SFC) and The Stock Exchange of Hong Kong Limited (the HKEx)...
by teddyromulo | Feb 6, 2020 | Publications & presentations
Hong Kong’s Progress towards a Paperless Securities Market Background Proposals for implementing a paperless securities regime in Hong Kong have a long history. Hong Kong’s securities regulator, the Securities and Futures Commission (SFC) conducted its first...
by teddyromulo | Jan 24, 2020 | Hong Kong Law
Download the PDF Download the Word On 7 January 2020, the Securities and Futures Commission (SFC) announced[1] the publication of two SFC circulars providing guidance on the SFC licensing obligations of private equity firms (Hong Kong private equity firms)...
