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)

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