Publications & Events |
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Latest Publications & Events |
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Results 1-5 of 14 (309KB) for +regulatory with 18 total matches
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SFC Guidance on Requirements for Licensing under the Law: Reliable or Not |
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Market participants seek guidance from the SFC with a view to ensuring compliance with applicable laws. Recently, the SFC has begun to take a more active role in providing such guidance, in many cases discouraging licensed persons from holding a license or indeed, indicating that the SFC will not grant a license based on its own interpretation of the law. As the courts alone can conclusively interpret laws, the SFC's approach is unsatisfactory, placing market participants at risk for breach of applicable laws. In this article, we discuss how market participants should proceed in the face of this dilemma.
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New Short Position Reporting: Analysis of Hong Kong Proposals |
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The Hong Kong Securities and Futures Commission has unveiled new proposals to increase transparency in short positions. Other jurisdictions have introduced similar proposals but it is questionable whether Hong Kong needs to follow suit. In this article, we summarize the proposals and provide our insights on them.
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New Proposals to Regulate Mis-Selling of Investment Funds & Structured Products in Hong Kong: Right or Wrong? |
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The recent global financial crisis has resulted in an upswing in regulatory action throughout world markets. In Hong Kong, the Securities and Futures Commission (SFC) has proposed a slew of new requirements, some of which have already been implemented retroactively and without industry consultation. In this article we examine these ongoing developments in SFC policy and their effectiveness in reaching a fair balance between investor protection and costs to the investor and the financial industry.
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How to Start a Hedge Fund in Hong Kong: A Legal Primer |
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Hong Kong is a premier centre for hedge fund management in Asia, boasting easy access to North Asia deal flow, world class infrastructure, an internationally regarded regulatory framework and a relatively benign tax environment. This article provides the portfolio manager with an overview of the key legal issues that are likely to arise when establishing and managing a hedge fund in Hong Kong, covering the choice of fund structure, business licensing requirements and capital raising.
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"Communications from Collective Investment Schemes Authorized in Hong Kong: A Snapshot of SFC Proposals |
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Proposed changes will reduce regulatory burdens by dispensing with pre-vetting by the SFC of a wide range of notices and advertisements issued by collective investment schemes authorized by the SFC. At the same time, they will harmonize requirements for advertisements. However, the changes introduce now complexity into the regulatory regime and shift greater responsibility and liability on the issuers of such notices and advertisements.
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