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Asset Management › Conflicts of Interest › Hong Kong Securities and Futures Commission (HKSFC)

Hogan Lovells

SFC cautions deficiencies and misconduct in asset management practices

Hogan Lovells on

On 9 October 2024, the Securities and Futures Commission (the “SFC”) issued a circular (the “Circular”) highlighting deficiencies and substandard conduct observed during its supervision of licensed corporations engaged in...more

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

Dechert LLP

Financial Services Quarterly Report - Third Quarter 2017: Hong Kong SFC Issues Clarification on Standards Expected of Asset...

Dechert LLP on

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

Akin Gump Strauss Hauer & Feld LLP

SFC (the “Commission”) Expresses Concern over Irregularities in Asset Management Activities

Akin Gump Strauss Hauer & Feld LLP on

•The Commission has identified a number of regulatory concerns with respect to private funds and discretionary accounts, in particular, funds with concentrated, illiquid and interconnected investments. •The Commission has...more

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