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New guide to the Independent Insurance Authority in Hong Kong launched
Hong Kong is about to establish a unified insurance regulatory regime under the auspices of a new body, to be named the 'Insurance Authority'. The …
SFC new power to provide overseas regulators with supervisory assistance - a glimpse of the regulators' future cooperation
With effect from 13 November 2015, the Securities and Futures Ordinance was amended to give new powers to the Securities and Futures Commission (SFC) to …
SFC hands out hefty fine as it steps up scrutiny over intermediaries' compliance with self-reporting obligations
On 30 July 2015, the Securities and Futures Commission (SFC) announced that it had reprimanded and fined Nomura International (Hong Kong) Limited HK$4.5 …
First proceedings taken against Hong Kong-listed company and its officers for breach of statutory inside information disclosure requirements
On 22 July 2015, the Securities and Futures Commission (SFC) commenced proceedings in the Market Misconduct Tribunal against AcrossAsia Limited, its …
Regulator warns intermediaries of the need to fully comply with notification requirements
The Securities and Futures Commission (SFC) recently issued a circular reminding intermediaries, and their substantial shareholders, of the various …
Hong Kong court dismisses investor's counterclaim against bank for mis-selling of financial products
The Hong Kong Court of First Instance handed down its judgment in DBS Bank (Hong Kong) Limited v Sit Pan Jit (HCA 382/2009) on 2 April 2015. It is the …
Hong Kong court dismisses investor’s counterclaim against bank for mis-selling of financial products
The Court of First Instance has recently handed down its judgment in DBS Bank (Hong Kong) Limited v Sit Pan Jit (HCA 382/2009). This case concerns …
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