compliance sfc

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37 documents for compliance sfc

- Challenging The SFC: What Every Compliance Officer Needs To Know
The Securities and Futures Commission ("SFC") interacts with licensed and registered persons in 2 key ways. First, it regulates their conduct...
- Mondaq Business Briefing
- Hong Kong Law Articles in English
- Hong Kong's New Anti-Money Laundering Law
... sanctions to deal with cases of non-compliance; and Remittance agents and money changers were no...
- Mondaq Business Briefing
- Hong Kong Law Articles in English
- Consultation Conclusions On Proposed Statutory Codification Of Certain Requirements To Disclose Price Sensitive Information By Listed Corporations
... professional adviser to review its compliance procedures and ordering a listed issuer to appoint...
- Mondaq Business Briefing
- Hong Kong Law Articles in English

- Disclosing price sensitive information: A stronger regulatory framework for Hong Kong's listed corporations
..., the SFC may grant waivers from compliance and is empowered to prescribe further safe harbour...
- Mondaq Business Briefing
- Hong Kong Law Articles in English
- Approaching the finish line: Short position reporting
... Compliance burden. It's not clear that the SFC has conducte...
- Mondaq Business Briefing
- Hong Kong Law Articles in English
- The Securities and Futures Ordinance - Guidelines for Dealing with an On-site Investigation Conducted by the SFC at a Company's Premises
... 1. CONTACT THE COMPLIANCE OFFICER AND OTHER KEY PERSONNEL. Business repre...
- Mondaq Business Briefing
- Hong Kong Law Articles in English
- New Proposals to Regulate Mis-Selling of Investment Funds & Structured Products in Hong Kong: Right or Wrong?
...authorized by the SFC, with a view to compliance. The remaining majority of the proposals have not,...
- Mondaq Business Briefing
- Hong Kong Law Articles in English
- New Short Position Reporting Regime In Hong Kong
... Preparation for compliance. In anticipation of the rules coming into force,...
- Mondaq Business Briefing
- Hong Kong Law Articles in English
- Hong Kong Codes on Takeovers and Mergers and Share Repurchases Now Applicable to SFC Authorised REITs
... 11.8, SFC may consider waiving strict compliance with the requirement to dispose of all real estate...
- Mondaq Business Briefing
- Hong Kong Law Articles in English
- Communications From Collective Investment Schemes Authorized In Hong Kong: A Snapshot Of SFC Proposals
...Statutory Compliance . In any event, whilst the proposal would likely f...
- Mondaq Business Briefing
- Hong Kong Law Articles in English