On 27 December 2023, the Hong Kong Financial Services and the Treasury Bureau (FSTB) and the Hong Kong Monetary Authority (HKMA) jointly issued a consultation paper (the Consultation) proposing regulatory regime for...more
Following an initial “soft” consultation with industry participants and relevant stakeholders, the Securities and Futures Commission (SFC) launched a three-month consultation on proposed amendments to the Code on Unit Trusts...more
4/5/2018
/ Asset Diversification ,
Capital Requirements ,
Closed-End Funds ,
Custodians ,
Derivatives ,
Disclosure Requirements ,
ETFs ,
Financial Reporting ,
Financial Services Industry ,
FSB ,
Hedge Funds ,
Hong Kong ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Index Funds ,
Internal Controls ,
Investment Funds ,
Investment Portfolios ,
Investor Protection ,
IOSCO ,
Loans ,
Management Companies ,
Money Market Funds ,
Multinationals ,
NAV ,
Over The Counter Derivatives (OTC) ,
Pooled Investment Vehicles ,
Public Consultations ,
Public Funds ,
Retirement Funds ,
Risk Management ,
Securities ,
Securities Financing Transactions (SFTs) ,
SEHK ,
SFC ,
Trustees ,
UCITS
The Hong Kong Securities and Futures Commission (SFC) on 16 November 2017 published its Conclusions on its one-year consultation in relation to enhancement of asset management regulation and point-of-sale transparency...more
1/11/2018
/ Amended Rules ,
Asset Management ,
Code of Conduct ,
Financial Stability Board ,
Fund Managers ,
Hong Kong ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Intermediaries ,
IOSCO ,
Liquidity ,
Point of Sale Terminals ,
Reporting Requirements ,
Risk Management ,
Transparency
The Hong Kong Securities and Futures Commission (SFC) recently released a circular outlining its views on how asset managers should address certain conflicts of interest between private funds and separately managed accounts...more
The use of online platforms for distribution of financial products has become increasingly popular in Hong Kong. In May 2017, the Hong Kong Securities and Futures Commission (SFC) issued a Consultation Paper inviting comments...more
6/26/2017
/ Code of Conduct ,
Comment Period ,
Complex Financial Products ,
Corporate Governance ,
Financial Services Industry ,
Hong Kong ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Investor Protection ,
Online Distribution ,
Online Platforms ,
Proposed Guidance ,
Public Consultations ,
Retail Investors ,
Risk Management ,
SEHK