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Hong Kong Confirms New Regulatory Licensing Regime for Virtual Asset Exchanges

The Hong Kong government has issued its widely anticipated consultation conclusions on a new framework to regulate virtual asset exchanges. On 21 May 2021, the Hong Kong Financial Services and the Treasury Bureau (FSTB)...more

Hong Kong Securities and Futures Commission Publishes Consultation Paper on Bookbuilding, Placing Activities and Sponsor Coupling

The paper proposes standards of conduct for intermediaries involved in bookbuilding and placing activities in ECM and DCM transactions. On 8 February 2021, the Securities and Futures Commission of Hong Kong (SFC)...more

Key Regulatory Developments in Hong Kong and Singapore: December 2020

Regulators consult on an investor identification regime and outsourcing requirements, and issue guidance on electronic storage of regulatory records and environmental risk management - This blog post summarises key...more

Key Regulatory Developments in Hong Kong and Singapore: November 2020

Regulators propose new regulations for virtual asset exchanges and enhanced customer identity verification requirements, and launch an innovative commercial data interchange. This blog post summarises key regulatory...more

Hong Kong Consults on a New Licensing Regime to Regulate Virtual Assets Exchanges

Hong Kong government issued a consultation to implement a new regulatory framework requiring virtual asset exchanges to be regulated by the SFC - Key Points: ..The Hong Kong Financial Services and the Treasury Bureau...more

Hong Kong Fintech Week 2020: SFC Announces New Crypto Regulatory Regime for Virtual Asset Exchanges

Hong Kong’s Securities and Futures Commission’s introduces new licensing regime to regulate previously unregulated markets and restates expectations regarding security token offerings. The second day of Hong Kong Fintech...more

Key Regulatory Developments in Hong Kong and Singapore: September 2020

Regulators consult on anti-money laundering guidelines and issue guidance on cybersecurity, best execution, and senior management accountability. This blog post summarizes key regulatory developments in Hong Kong and...more

Hong Kong SFC Consults on Enhancements to Anti-Money Laundering Guideline

Amidst its continued regulatory focus on money laundering and terrorist financing risks, the SFC seeks to clarify and consolidate guidance for licensed firms. On 18 September 2020, the Hong Kong Securities and Futures...more

Hong Kong SFC Refines OTC Derivatives Licensing Regime

The SFC’s consultation conclusions carve out non-financial groups and multilateral portfolio compression services. On 12 June 2020, the Securities and Futures Commission (SFC) published its conclusions (Consultation...more

HK SFC Reiterates Key Regulatory Obligations Amidst COVID-19 Market Volatility

Market participants must treat clients fairly and exercise care when recommending potentially volatile or illiquid products. In response to ongoing volatility in local and international markets caused by the COVID-19...more

Hong Kong FinTech Week: Day 1 in Review

SFC outlines new regulatory framework for virtual asset trading platforms, HKMA highlights recent FinTech initiatives, and PBOC discusses China’s forthcoming central bank digital currency. The fourth annual Hong Kong FinTech...more

Hong Kong Regulators Consult on Enhancements to OTC Derivatives Regime

The HKMA and SFC are jointly consulting on further enhancements to OTC derivatives reporting and clearing obligations. Key Points: ..The HKMA and the SFC have proposed mandating the use of UTIs for the reporting...more

Recent SFC Enforcement Action: 5 Key Takeaways for Hong Kong IPO Sponsors

Sponsors should maintain best practices in IPO engagements in light of increased enforcement action and regulatory scrutiny from the SFC. Key Points: ..In March 2019, the Hong Kong securities regulator, the Securities...more

Hong Kong’s SFC Issues Significant Announcements on the Regulation of Virtual Assets

The SFC has outlined its regulatory approach to the management and distribution of virtual asset funds and virtual asset exchanges. Key Points: ..Investor protection is paramount and the SFC is taking steps to tighten...more

Global Developments on Best Execution

Best execution is currently a hot topic for global regulators and the past year has seen notable regulatory focus in this area. Amid this development, firms are recommended to review their global best execution compliance...more

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