Under Hong Kong’s securities law the SFC has the power to discipline licensed individuals with civil sanctions including public censure, license restrictions or outright bans, and fines of up to

Hong Kong’s securities regulator plans to require financial firms, such as brokers and hedge funds, to disclose which of its managers are responsible for the day-to-day running of regulated activities and to register these individuals and their responsibilities with the

Hong Kong’s securities regulator plans to require financial firms, such as brokers and hedge funds, to disclose which of its managers are responsible for the day-to-day running of regulated activities and to register these individuals and their responsibilities with the

Being independent, the aim of this blog is to provide guidance on how you can invest in the Hong Kong financial market using objective and scientific methods. 2011年11月6日 星期日 持牌人及註冊機構 Public Register of Licensed Persons and Registered 證監

Both local and foreign funds may be authorised by the SFC for offers to the public in Hong Kong. The SFC may accept that some funds already comply in substance with certain provisions in the Code by virtue of prior authorisation in a recognised jurisdiction.

Notice Cancellation of the June 2020 examination session Due to the coronavirus pandemic, the Hong Kong Institute of Certified Public Accountants announced that the June 2020 examination session has been cancelled. This covers all professional examinations, namely the Qualification Programme, Practising Certificate Examinations, and the Aptitude Tests.

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• Assets under management by Hong Kong-domiciled SFC-authorized funds increased 12% year-on-year to US$132bn (Mar 2017). • 66% of funds (excluding REITs) came from non-Hong Kong investors. • 70% of funds are invested in the Asia-Pacific area.

The Institute was incorporated as a company limited by guarantee on 29th September 1972 by a group of professionals with the major objectives of promoting the study of taxation, using as a venue for the exchange of taxation knowledge as well as to enhance the

Outsourcing Laws and Regulations covering issues in Hong Kong of Regulatory Framework, Legal Structure, Procurement Process, Term of an Outsourcing Agreement Reason Our comments Internal expertise, development and maturation of business strategies Are

PRUDENTIAL PUBLIC LIMITED COMPANY People Li, Patrina Pui Ying 李佩英 Prudential Hong Kong Ltd v Mr Leung Cherng Jiunn HK Court of First Instance, 21-May-2015

Webb-site.com, 22-Mar-2020 As class suspensions drag into a third month, we look at who exactly is responsible. Surprise: it’s not the Government, which can only advise, and it’s now time for schools and their governing bodies to take the lead and learn from the parallel case of Singapore, where schools have remained open without causing an outbreak.

Hong Kong SFC consults on new type 13 regulated activity to regulate depositories of public funds Herbert Smith Freehills LLP Hong Kong September 30 2019 Last Friday, the Securities and Futures

ABOUT US Incorporated in December 1999 with the witness of Secretary for Justice of HKSAR, Miss Elsie Leung Oi-sie, GBM, JP, The Hong Kong S.A.R. Licensed Money Lenders Association Ltd. (LMLA) is a self-regulatory association for the money lending business with longest history in Hong Kong.

The Financial Conduct Authority (FCA) and the Securities and Futures Commission (SFC) have entered into a Memorandum of Understanding on Mutual Recognition of Funds (MoU), which will allow eligible Hong Kong public funds and United Kingdom retail funds to

The OFC structure is designed to be used by both retail and private funds. Retail funds in Hong Kong must be authorised by the SFC for public sale under the SFO. The conditions for authorisation are set out in the SFC’s Code on Unit Trusts and Mutual Funds).

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As a result of the marketing initiatives and services provided to ETrade US’s Hong Kong-based clients, ETrade HK had received revenue from ETrade US. The SFC reminds investors to check the SFC’s Public Register of Licensed Persons and Registered

SFC case A portfolio manager at a Hong Kong bank, who was registered under the Securities and Futures Ordinance to carry on Type 1 & Type 4 regulated activities, sent information regarding 1,540 customers to his personal email address on his last day of

Overview of the Hong Kong licensing regime Dentons Hong Kong March 31 2014 The Securities and Futures Commission (SFC) is responsible for administering the Securities and Futures Ordinance (SFO

Hong Kong – SFC Consults On New Rules And Code For Open-Ended Fund Company Structure. Legal News & Analysis – Asia Pacific – Hong Kong – Regulatory & Compliance 20 July, 2017 On 28 June 2017, the Securities and Futures Commission (SFC

Background Hong Kong has a strong reputation as a global and regional hub for the asset management and funds industry and is clearly looking to maintain and improve its competitiveness in this sector. In the recent 2020-2021 Budget, and particularly in the

Read publication Background Following the introduction of a new framework for a Hong Kong open-ended fund company (OFC) structure in July 2018, the Securities and Futures Commission (SFC) has launched a public consultation (Consultation) on proposed enhancements to the OFC regime, with a view to facilitating greater industry adoption of the new structure.

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Hong Kong’s ability to combat ML is assessed as medium-high, characterised by its robust legal framework, high-level political commitment, close partnerships among Government agencies and between the public and private sectors, fair and efficient prosecution and judicial process,

The Securities and Futures Commission (SFC) today released for public consultation the draft Securities and Futures (Licensed Persons And Registered Institutions) Rules (draft Rules). These are to be made under the Securities and Futures Bill (Bill) when enacted.

4 February, 2020 Background Following the introduction of a new framework for a Hong Kong open-ended fund company (OFC) structure in July 2018, the Securities and Futures Commission (SFC) has launched a public consultation (Consultation) on proposed enhancements to the OFC regime, with a view to facilitating greater industry adoption of the new structure.

Hong Kong – SFC Licensing And Compliance Hints. Legal News & Analysis – Asia Pacific – Hong Kong – Regulatory & Compliance Hong Kong – Requirements For Compliance Officers Of HK Licensed Corporations. 1 December, 2015 How ready are you for the

CTgoodjobs is a leading jobs, employment and recruitment portal in Hong Kong, featuring part-time/full-time job vacancies, interview skills and tips, career news, cover letter/CV sample and many more. 香港領先求職招聘網站CTgoodjobs,提供各行業全職/兼職好

On 31 October 2019, the Hong Kong Securities and Futures Commission (SFC) published a circular (Circular) on the use of electronic data storage providers (EDSPs) by licensed corporations (LCs).In light of the coronavirus (COVID-19) pandemic, the Comptroller of

Arrangements Relating To Hong Kong Securities And Futures Commission’s Public Services Date 05/02/2020 The SFC has reconfigured its staffing arrangements to limit coronavirus infection risks, as have many other organisations.

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SFC by visiting the Public Register section on the SFC’s website.」 Page last updated : 1 Aug 2012 Home News & announcements News 證 監 會 檢 控 何 道 因 , 指 其 違 反 《 商 品 交 易 條 例 》 及 《 保 障 投 資 者 條 例 》 |

Hong Kong’s Securities And Futures Commission Launches New Register Of Cold Shoulder Orders Date 21/05/2015 The Securities and Futures Commission (SFC) today launched a new public register of cold shoulder orders to facilitate compliance by intermediaries when dealing with clients who are subject to these sanctions (Note 1).

Public libraries: all public libraries in Hong Kong provide free Internet access to library users; HKEX’s Public Viewing Room at 1/F, One and Two Exchange Square in Central: the Public Viewing Room houses desktop computers with which investors can search and view issuers’ announcements, notices and other documents published on the HKEX website, and browse the SFC website.

The SFC’s public register outlines that TigerWit received a license for leveraged forex trading on the 12th of December 2019 for TigerWit (Hong Kong) Limited (BOI171). The company’s principal address is Office 58 11/F Admiralty Centre Tower 2, 18 Harcourt Road, Admiralty, Hong Kong.

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SFC Issues Restriction Notice on Tiffit Securities (Hong Kong) Limited 18 Jul 2006 The SFC has issued a restriction notice on Tiffit Securities (Hong Kong) Limited to preserve the assets of the company and its clients, and to protect the interests of these clients

Hong Kong- SFC Licensing And Compliance Hints. Legal News & Analysis – Asia Pacific – Hong Kong – Regulatory & Compliance It is only when the SFC’s formal written approval has been obtained (or it is shown in SFC’s public register) that the applicant for

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NEW REGULATORY REGIME FOR TRUSTEES AND CUSTODIANS OF HONG KONG PUBLIC FUNDS 2 |CLIFFORD CHANCE October 2019 oversight of the management of Hong Kong public funds. In view of this, the SFC proposes to introduce 13 as part of

Hong Kong’s securities regulator plans to require financial firms, such as brokers and hedge funds, to disclose which of its managers are responsible for the day-to-day running of

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public in Hong Kong and not for any other purposes. No investment decision should be based on the SFC transaction levy of 0.0027% and Hong Kong Stock Exchange trading fee of 0.005% (payable in full on application in Hong Kong dollars and subject to

12/1/2015 · The SFC’s public register shows Dhillon was licensed to deal in securities and futures contracts for Credit Suisse between May 30, 2007 and June 9,

Comparison of two fund vehicles: the Hong Kong OFC and the Cayman exempted company Deacons not required to appoint a custodian unless it seeks SFC authorisation for public sale. In

The Securities and Futures Commission has fined Standard Chartered Securities (Hong Kong) HK$2.6 million (US$330,000) for internal control failures relating to short selling orders and breach of

Hong Kong’s SFC (Securities and Futures Commission) today (14 June) released its 2016/17 annual report, saying it intends to move towards a more “front loaded and ‘real time’ regulatory approa

The SFC, also known as the Securities and Futures Commission has marked a rise in the use of ICOs, also called the initial coin offerings. ICOs are the issuing digital tokens or coins to raise capital for a company or a project, both in Hong Kong and other parts of

DFSA and Hong Kong’s SFC sign FinTech Cooperation Agreement 28 Aug 2017 The Dubai Financial Services Authority (DFSA) and the Securities and Futures Commission (SFC) in Hong Kong today entered into an agreement to establish a framework of cooperation on

Breaking news, analysis and opinion from the SCMP’s Hong Kong edition.

How much Securities and Futures Commission (SFC) pay its employee? Find out Securities and Futures Commission (SFC) 證券及期貨事務監察委員會 (證監會

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If an offer or an invitation is made to the public in Hong Kong in due course, prospective investors are reminded to make their investment decisions solely based on the Company’s prospectus registered with the Registrar of Companies in Hong Kong, copies of

The SFC’s public register outlines that TigerWit received a licence for leveraged forex trading on the 12th of December 2019 for TigerWit (Hong Kong) Limited (BOI171). The company’s principal address is Office 58 11/F Admiralty Centre Tower 2, 18 Harcourt Road, Admiralty, Hong Kong.

The SFC ordered the Hong Kong exchange last October to suspend loss-making pharmaceutical firm New Ray Medicine International Holding from trading as it

The SFC found that Black Cell had promoted an ICO to sell digital tokens to investors through its website accessible by the Hong Kong public, with the pitch that the ICO proceeds would be used to fund the development of a mobile application and holders of the

Hong Kong could enhance the attractiveness of the bourse by adding global stocks to its Connect schemes and cracking down on so-called con stocks, SFC’s chairman Tong said. International