Seminar: How to Handle the Latest Changes to the Fund Manager Code of Conduct

Major changes to the regulation of the asset management industry announced by the Securities and Futures Commission (“SFC”) last year will come into effect this coming August and November. The changes will affect managers of both private and public pooled investment funds as well as managers of segregated managed accounts. They will affect how investment funds are structured, operated and marketed, and also how asset managers will carry out their management functions. Although the SFC has characterized the changes as high-level principles-based “enhancements”, they include some specific prescriptive requirements in relation to matters such as custody arrangements, liquidity risk management controls, collateral valuation policies for securities lending, and disclosure of leverage.
The changes will be implemented through amendments to the Fund Manager Code of Conduct and the Code of Conduct of Persons Licensed by or Registered with the SFC. Asset managers should by now be completing reviews of their operations to ensure they will be able to comply.

Please join us for the lunch time seminar as we discuss these latest changes and the steps that may be necessary to accommodate them.

Select below the date on which you would like to attend our seminar:

  • Monday, June 25, 2018 - Sold Out
  • Wednesday, June 27, 2018 - Sold Out
About the Firm

Founded in 2004, TIMOTHY LOH LLP is an internationally recognized Hong Kong law firm focused on mergers & acquisitions, litigation and general financial markets and financial services matters. The firm is a leader in banking, financial regulation, corporate finance, capital markets and investment funds as measured by its rankings and those of its lawyers in leading independent editorial publications. The firm routinely acts for Fortune Global 500 companies. For more information, visit www.timothyloh.com.

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