compliance sfc

Derecho Internacional Mondaq - Hong Kong Law Articles in English - (November 30, 2007)

Challenging The SFC: What Every Compliance Officer Needs To Know

Mr Timothy Loh - Timothy Loh

The Securities and Futures Commission ("SFC") interacts with licensed and registered persons ...... In these 2 respects, the powers of the SFC are broad. In the absence of a final ...... risk damaging its ongoing relationship with the SFC. However, the experience in the past 4 years ...

Derecho Internacional Mondaq - Hong Kong Law Articles in English - (November 22, 2007)

Non-Hong Kong Investment Funds: Relaxation Of SFC Authorization Practices

Timothy Loh

By Timothy Loh and Howard Burchfield III Hong Kong is an important market for global asset managers. Whilst the Securities and Futures Commission ("SFC") is open to authorizing collective investment ...

Derecho Internacional Mondaq - Hong Kong Law Articles in English - (May 10, 2010)

SFC Takes Tough Line On Structured Product Reform

Mr Richard Mazzochi and Minny Siu - Mallesons

Hong Kong's Securities and Futures Commission (SFC) has issued its much anticipated final word on ...... Background The SFC issued its "Consultation Conclusions on Possible ...... Going forward, all structured products (whether in the form of a share or debenture, including equity and credit linked notes) will be regulated by the SFC under the Securities and Futures Ordinance (SFO) ...

Derecho Internacional Mondaq - Hong Kong Law Articles in English - (February 19, 2009)

SFC Revised Advertising Guidelines And Enhanced Disclosure Requirements

Mr Victor Kwok - Mallesons

... the Hong Kong and Futures Commission (SFC). Issuers (Issuers) of SFC-authorised ......he advertising materials for their CIS were required to comply with these guidelines and requirements from However, having regard to industry concerns over difficulties with compliance, the SFC announced on 30 December that it ...

Derecho Internacional Mondaq - Hong Kong Law Articles in English - (June 09, 2010)

The Final Word from the SFC on Structured Product Reform

Mr Richard Mazzochi and Minny Siu - Mallesons

Hong Kong's Securities and Futures Commission (SFC) has issued its consultation conclusions on the ...... The SFC adopted most of what it proposed initially. ...... Background The SFC issued its "Consultation Conclusions on ...

Derecho Internacional Mondaq - Hong Kong Law Articles in English - (July 07, 2010)

Hong Kong Codes on Takeovers and Mergers and Share Repurchases Now Applicable to SFC Authorised REITs

Mr Hayden Flinn and Victor Kwok - Mallesons

The Securities and Futures Commission (SFC) released on 25 June 2010 its consultation ...... At the same time, SFC announced that both the Code on REITs (REIT Code)...... Takeover Code as it ceases to be qualified as a SFC authorised REIT. SFC recognises this issue and ...

Derecho Internacional Mondaq - Hong Kong Law Articles in English - (September 16, 2008)

Launching Innovative Retail Investment Funds In Hong Kong

Mr Timothy Loh - Timothy Loh

It is commonly believed that an asset manager who wishes to offer an investment fund to the investing public in Hong Kong must seek authorization from the SFC. In this article, we challenge belief and ...

Derecho Internacional Mondaq - Hong Kong Law Articles in English - (November 29, 2007)

Hong Kong: The Investment Fund Industry's Gateway to China

Mr Timothy Loh - Timothy Loh

... The Hong Kong Securities and Futures Commission ("SFC") is currently the only securities regulator ...... As the SFC is one of the regulators with an MOU with the ...... In the latter case, whilst the establishment of a distribution partnership presents its own issues, the establishment of an SFC authorized fund offers an attractive point of ...

Derecho Internacional Mondaq - Hong Kong Law Articles in English - (January 13, 2003)

Hong Kong: Hedge Funds

Herbert Smith

This year saw the first batch of hedge funds authorised in Hong Kong for sale to the general public. In November the SFC issued new guidelines on reporting requirements ...... Reporting requirements In September 2002 the SFC conducted a public consultation on proposed ...