Category Archives: Regulatory Updates

Circular to intermediaries, responsible officers and licensed representatives Waiver of annual licensing fees

19 Mar 2021 The Securities and Futures Commission (SFC) will waive the annual licensing fees [...]

[Regulatory Updates] Circular to Licensed Corporations and Associated Entities – Anti-Money Laundering / Counter-Financing of Terrorism

(1)  FATF Statement on High-Risk Jurisdictions subject to a Call for Action Further to our [...]

AML/CFT Regtech: Case Studies and Insights

21 Jan 2021 HKMA published today (21 January 2021) a report titled “AML/CFT Regtech: Case [...]

HKEX STATEMENT ON STRUCTURED PRODUCTS

10 Jan 2021 Hong Kong Exchanges and Clearing Limited (HKEX) notes the decision to delist [...]

SFC concludes consultation on customer due diligence requirements for open-ended fund companies

23 Dec 2020 SFC today released consultation conclusions on proposed customer due diligence requirements for [...]

SFC licenses first virtual asset trading platform

16 Dec 2020 The Securities and Futures Commission (SFC) announces that it has granted the [...]

SFC statement on US sanctions

12 Nov 2020 The SFC is issuing this statement in response to enquiries following the [...]

Insurance Authority consults on the proposed Insurance (Special Purpose Business) Rules

4 Sep 2020 The Insurance Authority launched a six-week public consultation on the draft Insurance [...]

SFC concludes consultation on changes to the open-ended fund companies regime and further consults on customer due diligence requirements

2 Sep 2020 The SFC today released consultation conclusions on enhancements to the open-ended fund [...]

Exchange publishes consultation conclusion on codification of general waivers and principles relating to IPOs and listed issuers and minor rule amendments

28 Aug 2020 The Stock Exchange of Hong Kong Limited today published conclusions to its [...]