compliance sfc

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35 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
- 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
- Capital Markets Quarterly Update (October to December 2010)
... accountants and auditors to reduce compliance costs and increase efficiency. Before that, on a g...
- Mondaq Business Briefing
- Hong Kong Law Articles in English
- SFC Revised Advertising Guidelines And Enhanced Disclosure Requirements
...difficulties with compliance, the SFC announced on 30 December 2008. that it wo...
- 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
- Hong Kong: The Investment Fund Industry's Gateway to China
... and reserves the right to require such compliance as a condition of authorization. UCITS investment ...
- 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