Category Archives: Lastest Topics

China Banking and Insurance Regulatory Commission extends preferential treatment for the Hong Kong insurance industry to 30 June 2021

23 June 2020 The China Banking and Insurance Regulatory Commission (CBIRC) today (23 June 2020) [...]

SFC bans former responsible officer of Guosen Securities (HK) Brokerage Company, Limited for 12 months

23 Jun 2020 The Securities and Futures Commission (SFC) has prohibited Ms Joanna Chu Lai [...]

Compliance with CPD requirements under the New Regulatory Regime for Insurance Intermediaries – Additional Facilitative Measures

June 12 2020 The Insurance Authority issued a circular on 28 February 2020 regarding a [...]

Circular to licensed corporations Revised financial return form

26 Jun 2020 The Securities and Futures Commission (SFC) today published the draft of the [...]

OTC derivatives licensing regime: SFC concludes consultation on regulatory scope and competence requirements

10 Jun 2020 The Securities and Futures Commission (SFC) today released a consultation conclusions paper [...]

SFC proposes changes to the Code on Real Estate Investment Trusts

June 9 2020 The Securities and Futures Commission (SFC) today began a two-month consultation on proposals to [...]

SFC publicly censures Fu Kwan for breach of the Takeovers Code

11 Jun 2020 The Securities and Futures Commission (SFC) has publicly censured Fu Kwan, the [...]

SFC reprimands and fines Potomac Capital Limited $800,000 for breaching Financial Resources Rules

June 8 2020 The Securities and Futures Commission (SFC) has reprimanded and fined Potomac Capital [...]

Court convicts and fines former director and shareholder of Wonderful Wealth Group Limited for unlicensed activities

4 Jun 2020 The Eastern Magistrates’ Court today convicted Mr Chong Kin Ting, former director [...]

Feedback from recent thematic reviews of Anti-Money Laundering and CounterFinancing of Terrorism (AML/CFT) control measures for remote customer onboarding initiatives

03 Jun 2020 Key observations and good practices in AML/CFT control measures were identified   in [...]