Tag: securities and futures commission
Showing 6 out of 6 results
15 December 2020
SFC releases FAQs simplifying compliance with electronic data storage requirements – But is it really as simple as it looks?
07 October 2020
A step towards increased AML/CTF enforcement? Hong Kong SFC consults on enhancements to AML/CTF guidelines
02 August 2019
Hong Kong Stock Exchange revises Listing Rules to tighten restrictions on backdoor listings
The Hong Kong Stock Exchange has finalised its proposed amendments to the Listing Rules to tighten restrictions on backdoor listings and continuing …
29 May 2018
HONG KONG SFC ISSUES DISCLOSURE REQUIREMENTS FOR DISCRETIONARY ACCOUNTS
On 23 May 2018, the Securities and Futures Commission (SFC) published its consultation conclusions on disclosure requirements for discretionary accounts …
22 February 2018
SFC ISSUES GUIDANCE ON BEST EXECUTION FOLLOWING THEMATIC REVIEW
On 30 January 2018, the Securities and Futures Commission (SFC) issued a circular to set out its guidance on the standards expected of licensed …
04 October 2017
New regulatory trial grounds for FinTech firms in Hong Kong - Regulators announce additional FinTech sandboxes
Last Friday (29 September 2017), Hong Kong financial regulators announced new initiatives aimed at fintech firms, including several new regulatory …