March 2023 New Regulatory Regime for Virtual Asset Trading Platform Operators Rolled Out (Click here to download) February 2023 8 Key Proposed Regulatory Requirements for Virtual Asset Trading Platform Operator (Click here to download) November 2022 Constitutionality of Restriction Notice Upheld by Court (Click here to download) September 2022 Repurchase Argeement (Click here to download) September 2022 Exit Plan Submitted to SFC (Click here to download) August 2022 ISDA and Documentation Architecture (Click here to download) April 2022 Cross Border Liquidation and Restructuring (Click here to download) April 2022 Set-up of a General WFOE in Shenzhen, China (Click here to download) February 2022 Letter of No Consent Regime under Judicial Review (Click here to download) January 2022 Investor Identification Regime (Click here to download) December 2021 The Financial Institutions (Resolution) (Contractual Recognition of Suspension of Termination Rights – Banking Sector) Rules (Click here to download) October 2021 Seven Key Update to AML Guideline (Click here to download) September 2021 Settlement with SFC In Disciplinary Proceedings (Click here to download) September 2021 Licensing Requirements for Bank as Insurance Intermediaries (Click here to download) September 2021 Regulatory Expectation for Bank Accounts Operation (Click here to download) May 2021 New virtual assets regulatory framework (Click here to download) March2021 A Welcoming Development – Paving Way for the Implementation of the Madrid Protocol in Hong Kong (Click here to download) February2021 Review of Internet Trading Cybersecurity (Click here to download) December2020 Witness Testimony via Video-conferencing Facilities (Click here to download) December 2020 Regulatory Requirements for Corporate Client’s Customer Due Diligence (Click here to download) December 2020 Updated Guidance on Documents to Clients via Websites (Click here to download) May 2020 Secrecy Obligations and Disclosures (Click here to download) March 2020 Licensing Obligations of Family Offices (Click here to download) January 2020 Regulatory Requirements for External Electronic Data Storage (Click here to download) November2019 Good Practice for Sale of In-house Products (Click here to download) September 2019 New Insurance Regulatory Regime and Tips for Insurance Business Referral (Click here to download) July 2019 Non-Hong Kong Companies (Disclosure of Company Name, Place of Incorporation and Members’ Limited Liability) Regulation (Click here to download) July 2019 A New Way for Overseas Individual Client Onborading (Click here to download) July 2019 New Regulatory Requirements to Protect Client Assets – Adopting a Standardized Acknowledgement Letter (Click here to download) June 2019 Guidelines on Third Party Deposit and Payment from the SFC (Click here to download) November 2018 Key SFC Licensing Issues for Virtual Asset Managers, Virtual Asset Funds Distributors and Virtual Asset Trading Platform Operators (Click here to download) November 2018 The Hong Kong Open-ended Fund Company – will it mark the end of the use of offshore funds for Hong Kong private fund managers? (Click here to download) April 2018 Revisions to the Fund Manager Code of Conduct – the Countdown Begins (Click here to download) April 2017 Summary on Automatic Exchange of Financial Account Information (“AEOI”) (Click here to download) April 2017 A Regime for Fostering Accountability of Senior Management (Click here to download) January 2017 Suitability Obligation in Client Agreements (Click here to download) April 2016 New Professional Investor Regime (Click here to download) January 2016 Have Regulatory Developments In Hong Kong Kept Pace With The Private Funds Industry (Click here to download) October 2015 Profits Tax Exemption for Offshore Private Equity Funds – Implications on SFC Licensing Requirements (Click here to download) June 2014 Key Issues in Getting an SFC License for Alternative Fund Managers (Click here to download) – Contact Us – Please leave this field empty.
