Improving Your Code of Conduct
Episode 347 -- LRN's Code of Conduct Survey
Conducting Healthcare Compliance Investigations
Third Party Ethical Audits
Tying Corporate Compliance & Ethics Week to Your Values
Patty Houser on Supplier Codes of Conduct
Abdul Rahman Al Jaabari on a Virtual Reality Code of Ethics & Business Conduct
Susan Roberts on Creating a Compliance Program Book
Cheryl Curbeam on Creating a Compliance App
Compliance Perspectives: Simplifying the Code of Conduct
Employment Law Now IV-65- The Great Debate Part 2: Employee Lawyer vs. Employer Lawyer
Compliance Perspectives: The Impact of Workplace Loneliness
Compliance Perspectives: Compliance and Technology
Compliance Perspectives: Rolling Out New Compliance Initiatives
Podcast - Risk Mitigation & Management: Bringing a Compliance Program to Life
Day 3 of One Month to 360-Degrees of Communications in Compliance-The D&B Experience
I-17 – Engaging Your Employees in Today’s Workplace, Featuring Rick Turner at Whirlpool Corporation
Operationalizing Compliance Through Your Tone in the Middle
Day 17 of One Month to Better Compliance Through HR-Using HR to Create an Ethical Culture
Day 15 of One Month to Better Compliance Through HR-Employment Separation Issues
On October 6, 2024, the Hong Kong Code of Conduct for ESG Ratings and Data Products Providers (VCoC) was published to establish and promote a consistent, interoperable, and proportionate voluntary code for providers offering...more
On 21 June 2024, the Hong Kong LegCo Bills Committee which is considering the Construction Industry Security of Payment Bill (“Bill”) held a meeting to discuss various policy concerns of the Bill....more
Under Hong Kong’s court rules, the Labour Tribunal has exclusive jurisdiction over claims for money damages arising from an employment contract or the Employment Ordinance. A recent decision highlights the pitfalls in...more
On October 31, 2023, the International Capital Market Association (ICMA) announced that it would be forming a working group to develop a voluntary code of conduct for Hong Kong-based ESG ratings and data providers. ICMA will...more
The HKMA and the SFC permit relaxation of suitability and other regulatory requirements while dealing with high-net-worth and experienced investors. On 28 July 2023, the Hong Kong Monetary Authority (HKMA) and the...more
Intermediaries in bookbuilding and placing activities should prepare for the new rules, which will take effect on 5 August 2022. The Securities and Futures Commission of Hong Kong (SFC) published the “Consultation...more
Key Points - The Fund Manager Code of Conduct will be amended to require fund managers managing collective investment schemes to take climate-related risks into consideration in their investment and risk management...more
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
The Hong Kong Securities and Futures Commission (SFC) has announced that it reprimanded and fined a Hong Kong private equity firm, SEAVI Advent Ocean Private Equity Limited (PE Firm), for employing or appointing unlicensed...more
The Guidelines on Online Distribution and Advisory Platforms (Guidelines) issued by the Hong Kong Securities and Futures Commission (SFC) will become effective on 6 July 2019. With the recent expansion of various online...more
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
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
Key Points - - Clarification and new guidance relating to suitability obligations under the Code of Conduct. - Outlines the regulatory obligations of licensed or registered persons....more
Similar to the situation in many other jurisdictions, fund managers, banks and other market participants in Hong Kong were, until recently, not required to apply the same regulations to high net worth, corporate or...more
The implementation of the new Competition Ordinance (Chapter 619 of the Laws of Hong Kong) (the Competition Ordinance) on 14 December 2015 will mark the first time that Hong Kong has a general and cross-sector competition...more