Seminar: The SFC's New Regulations Governing the Asset Management Industry

On November 16, 2017, the Securities and Futures Commission ("SFC") announced major changes to the regulation of the asset management industry. These 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. To provide adequate time for asset managers to comply with the broad ranging changes, the amendments will become effective in 12 months.

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

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

  • Monday, January 22, 2018 - Sold Out
  • Wednesday, January 24, 2018 - Sold Out
  • Friday, January 26, 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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