Category Archives: Regulatory Updates

Circular to Licensed Corporations and Associated Entities  Revised financial return form, analysis of client assets for associated entity and audit questionnaire

The Securities and Futures Commission (SFC) has released updated versions of three forms: the financial [...]

Circular to Licensed Corporations and Associated Entities – Anti-Money Laundering / Counter-Financing of Terrorism Amendments to Anti-Money Laundering and Counter-Financing of Terrorism Guidelines

The Securities and Futures Commission (SFC) has updated its anti-money laundering and counter-financing of terrorism [...]

Revised on Application for Disclosure of Protected Information

The Company Registry (CR) has released a gazette notice under section 23 Companies Ordinance (Chapter [...]

SFC concludes consultation on regulation of virtual asset trading platforms

The Securities and Futures Commission (SFC) has announced the release of the Consultation Conclusions on [...]

Upcoming Launch of the HKD-RMB Dual Counter Model Eligible for Market Making in Hong Kong Securities Market

The Hong Kong Stock Exchange has announced a tentative launch date of 19 June 2023 [...]

Amendments to the General Rules of CCASS (the “Rules”) and the CCASS Operational Procedures (the “Procedures”) of Hong Kong Securities Clearing Company Limited (“HKSCC”)

To support the implementation of the HKD-RMB dual counter initiative, the Rules and Procedures of [...]

Amendments to the Rules of the Exchange and the Operation Procedures for Stamp Duty Collection of The Stock Exchange of Hong Kong Limited (“SEHK”)

The Securities and Futures Commission has approved changes to the Rules of the Exchange and [...]

Amendments to the Clearing Procedures (the “Procedures”) of OTC Clearing Hong Kong Limited (“OTC Clear”)

OTC Clear has been authorized by the Securities and Futures Commission to make changes to [...]

HKEX to Launch HKD-RMB Dual Counter Model on 19 June 2023

On June 19, 2023, the Hong Kong Exchanges and Clearing Limited (HKEX) plans to launch [...]

SFC consults on revisions to takeovers and share buy-back rules

The Securities and Futures Commission (SFC) has launched a consultation on suggested changes to the [...]