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Amendments to the regulatory regime for dark pool operators in Hong Kong
On 15 May 2015, the Securities and Futures Commission (SFC) published its consultation conclusions concerning the regulation in Hong Kong of dark pools, …
Hong Kong SFC licensed corporations to be exempted from CFTC registration as FCMs when dealing with US customers in relation to futures trading
The US Commodity Futures Trading Commission (CFTC) has recently issued a Regulation 30.10 order to the Securities and Futures Commission (SFC) in Hong …
The Board’s responsibility to manage risk: key legal and compliance issues – a disputes perspective
At this recent conference, held by Herbert Smith Freehills and attended by close to a hundred clients, we explored some key legal and compliance risks …
Hong Kong regulator loses battle on the fight against unauthorized advertisement, but the war continues
On 20 March 2015, the Hong Kong Court of Final Appeal (CFA) allowed the appeal by Pacific Sun Advisors Limited and its Chief Executive Officer, Mantel, …
Cybersecurity – managing a crisis in the digital era – Part 3
Information security and system resilience are strategic issues for every business, with media reports of security breaches in businesses, government …
Australian Federal Court delivers a blow to agreed outcomes in civil penalty proceedings
The recent decision of the Full Court of the Federal Court of Australia in Director, Fair Work Building Industry Inspectorate v Construction, …
Brexit - a possible UK exit from the EU
In the UK, the General Election is a few days away and with it is the prospect of a Referendum on the UK's membership of the European Union (EU) by the …
Cybersecurity - managing a crisis in the digital era - Part 2
Information security and system resilience are strategic issues for every business, with media reports of security breaches in businesses, government …
UK: Proposed FCA Technical Notes on closed-ended investment companies
You would be forgiven if the Financial Conduct Authority ("FCA")'s rather plainly titled 'Primary Market Bulletin No. 11' passed you by in the lead up to …
The EU publishes amended guidance on financial sanctions
The Council of the European Union recently published a revised version of the EU Best Practices for the effective implementation of restrictive …
Cybersecurity – managing a crisis in the digital era
Information security and system resilience are strategic issues for every business, with media reports of security breaches in businesses, government …
Assessing and enhancing the legal and contractual aspects of CASS compliance
In the years since the Lehmann collapse there is no doubt that firms have been heavily focussed on CASS compliance, particularly on operational detail …
Showing 84 out of 113 results
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