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Brokers › Hong Kong Securities and Futures Commission (HKSFC)

Akin Gump Strauss Hauer & Feld LLP

SFC Highlights Deficiencies in Asset Management Industry

Akin Gump Strauss Hauer & Feld LLP on

• The SFC has identified nine common areas of non-compliance in managing funds and discretionary accounts. • The SFC urged licensed corporations to review their existing internal control procedures and operational...more

Akin Gump Strauss Hauer & Feld LLP

SFC’s Concerns Over Licensees’ Anti-Money Laundering Internal Controls

Akin Gump Strauss Hauer & Feld LLP on

Key Points - - The SFC Enforcement Division is investigating several SFC-licensed brokerages for suspected inadequate AML internal controls. - Reminder of SFC areas of concern. - SFC licensees...more

Katten Muchin Rosenman LLP

CFTC Issues an Exemption to HKSFC Permitting US Customers to Deal Directly with Hong Kong Brokers

Katten Muchin Rosenman LLP on

On March 19, the Commodity Futures Trading Commission issued an exemption to Hong Kong Securities and Futures Commission (HKSFC) permitting US customers to deal directly with Hong Kong brokers pursuant to CFTC Regulation...more

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