Category Archives: Regulatory Updates

Joint announcement of the China Securities Regulatory Commission and the Hong Kong Securities and Futures Commission

The China Securities Regulatory Commission (CSRC) and the Hong Kong Securities and Futures Commission (SFC) [...]

Warning: Virtual asset trading platforms engaging in improper practices

The Securities and Futures Commission (SFC) has issued a warning to unlicensed virtual asset trading [...]

The Retail Green Bond of the Government of the Hong Kong Special Administrative Region of the People’s Republic of China (Stock code: 4273) – Standard Application Form Template and Deal-Specific Briefing for Securities Brokers by Hong Kong Monetary Authority

The Government has introduced a new series of retail green bonds under the Government Green [...]

Circular to Licensed Corporations in relation to list of prescribed persons who have reached the clearing threshold under the clearing and record keeping rules for the OTC derivatives regime

The Securities and Futures Commission (SFC) has published an updated list of prescribed persons who [...]

The HKMA issued a letter on 30 August 2023 to consult the banking industry on the proposed Code of Practice chapter on Continuity of Access to Financial Market Infrastructure Services under the Financial Institutions (Resolution) Ordinance (Cap. 628).

The Monetary Authority (MA) has released a consultation paper that offers guidance to authorized institutions [...]

Alternative Arrangement for Meeting the Audio Recording Requirement of Protection Linked Plan

The Hong Kong Monetary Authority (HKMA) has announced on 8 July 2022 that authorized institutions [...]

Planning for net-zero transition

The Hong Kong Monetary Authority (HKMA) has provided a set of high-level principles to guide [...]

New Roadmap to Promote Fintech Adoption in Financial Services Sector

The Hong Kong Monetary Authority (HKMA), the Securities and Futures Commission (SFC), and the Insurance [...]

Circular to Intermediaries Reminder on the Over-the-counter Securities Transactions Reporting Regime (OTCR)

Relevant Regulated Intermediaries are reminded that the Over-the-counter Securities Transactions Reporting Regime (OTCR) will come [...]

SFC concludes consultation on risk management guidelines for futures dealing activities

The Securities and Futures Commission (SFC) has published its consultation conclusions regarding risk management guidelines [...]