Compliance Insight
06 June 2023
A Comprehensive Guide to Tax Concessions for Family Offices in Hong Kong: Requirements, Qualifications, and Comparisons
A Comprehensive Guide to Tax Concessions for Family Offices in Hong Kong: Requirements, Qualifications,...
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Compliance Insight
06 June 2023
A Comparative Analysis of LPF and OFC: Popular Investment Vehicles in Hong Kong Compared and Evaluated
LPF vs OFC: A Comparative Analysis of Hong Kong’s Popular Investment Vehicles Open-ended fund...
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Compliance Insight
06 June 2023
Preparing for the New Regulatory Regime: Latest Updates on Type 13 for Trustees and Custodians of Hong Kong Public Funds
Preparing for the New Regulatory Regime: Latest Updates on Type 13 for Trustees and Custodians of Hong...
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Compliance Insight
06 June 2023
Challenges with Traditional Client Onboarding: The Need for a Digital Alternative to Improve Efficiency and Reduce Risk
Challenges with Traditional Client Onboarding: The Need for a Digital Alternative to Improve Efficiency...
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SFC Updates

31-05-2023 SFC update – Circular on transitional arrangements of the new licensing regime for virtual asset trading platforms

25-05-2023 SFC update – Revised financial return form, analysis of client assets for associated entity and audit questionnaire

24_05_2023 SFC update – Anti-Money Laundering _ Counter-Financing of Terrorism Amendments to Anti-Money Laundering and Counter-Financing of Terrorism Guidelines

23_05_2023 SFC update – SFC concludes consultation on regulation of virtual asset trading platforms

03_05_2023 SFC update – SFC commences MMT proceedings against former bank employee over alleged insider dealing

02_05_2023 SFC update – SFC obtains court order to freeze assets of suspected insider dealers of I.T Limited shares

27_04_2023 SFC update – SFC announces carbon neutrality commitment

26_04_2023 SFC update – SFC bans Peter Law Chi Kin for 10 years and fines him $535,500

20_04_2023 SFC update – SFC seeks court orders to disqualify former directors and ex-chief financial controller of China Candy Holdings Limited

17_04_2023 SFC update – SFC issues restriction notices to three brokers to freeze accounts of clients involved in suspected corporate misconduct

12_04_2023 SFC update – SFC reprimands and fines Ninety One Hong Kong Limited $1.4 million for unlicensed futures trading

06_04_2023 SFC update – Suspected core member of syndicate charged in ramp-and-dump case

31_03_2023 SFC update – Anti-Money Laundering _ Counter-Financing of Terrorism United Nations Sanctions (Democratic Republic of the Congo) Regulation 2019 (Amendment) Regulation 2023

27_03_2023 SFC update – Waiver of annual licensing fees

22_03_2023 SFC update – SFC publishes quick reference guides for licensing requirements

22_03_2023 SFC update – Court reaffirms SFC’s power of issuing restriction notices

20_03_2023 SFC update – UBS AG’s acquisition of Credit Suisse AG

15_03_2023 SFC update – Five more arrested in SFC and ICAC joint operation against sophisticated ramp-and-dump syndicate

14_03_2023 SFC update – SFAT affirms SFC decision to reprimand and fine I-Access Investors Limited $600,000 over breach of the Code of Conduct

09_03_2023 SFC update – SFC reprimands and fines City International Futures (Hong Kong) Limited $100,000 for regulatory breaches

06_03_2023 SFC update – SFC bans Citigroup Global Markets Asia Limited’s former responsible officer Philip John Shaw for 10 years

02_03_2023 SFC update – Investor identification regime to take effect on 20 March 2023

01_03_2023 SFC update – SFC bans Wong Kwun Shing for life

27_02_2023 SFC update – SFC bans Chan Wai Chun for life

20_02_2023 SFC update – SFC consults on proposals to regulate virtual asset trading platforms

07_02_2023 SFC update – SFC reprimands and fines Jinrui Futures (Hong Kong) Limited $4.8 million and sanctions its responsible officers for regulatory breaches

30_01_2023 SFC update – Anti-Money Laundering _ Counter-Financing of Terrorism Early Alert on United Nations Sanctions

20_01_2023 SFC update – SFC warns the public against a suspicious website

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