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SFC announces “Manager in Charge” regime to heighten senior management accountability for financial institutions in Hong Kong
In its recent circular (with annexes 1 and 2 and a set of FAQs), the Securities and Futures Commission (SFC) introduced new measures to heighten the …
Hong Kong SFC confirms enforcement priorities and approach following strategic review
In its recently relaunched Enforcement Reporter newsletter (see first issue), the Securities and Futures Commission (SFC) has confirmed that corporate …
Singapore: SGX reprimands oilfield services firm for failure to provide a balanced and fair announcement to the market
The Singapore Exchange (SGX) issued a public reprimand to Swiber Holdings Limited (Swiber), an oilfield services firm, on 31 October 2016 (Regulatory …
Singapore: MAS withdraws second merchant bank status in AML push
In line with its increased commitment to combat money laundering and terrorist financing in Singapore, the Monetary Authority of Singapore (MAS) has …
Investor protection in the spotlight: proposals to significantly enhance the Financial Dispute Resolution Scheme
The Financial Dispute Resolution Centre (FDRC), which since June 2012 has been providing alternative dispute resolution services to financial …
Herbert Smith Freehills sponsors and contributes chapters to the recently published First Edition of Getting the Deal Through – Financial Services Litigation 2016
In the light of the global growth of litigation in the financial sector following the financial crisis, Herbert Smith Freehills has sponsored 'Getting …
New SFC guidance on client agreement requirements
In the light of the queries raised by Herbert Smith Freehills following industry consultation, the Securities and Futures Commission (SFC) has issued …
Hong Kong Court rules in favour of investors in mis-selling claim: a departure from the recent trend
Recently, the Hong Kong Court of First Instance handed down its judgment in relation to a mis-selling claim against a bank, ruling in favour of the …
Bank wins again after investor's unsuccessful appeal in mis-selling case
The Hong Kong Court of Appeal has dismissed an appeal in DBS Bank (Hong Kong Limited) v Sit Pan Jit (CACV 91/2015), a recent case dealing with …
Ambit of private company exception to “securities” under the SFO – a look at the latest Hong Kong and UK decisions on dealing in securities and collective investment schemes
On 20 and 22 April 2016, the UK Supreme Court and the Hong Kong District Court handed down their respective decisions on criminal charges against …
Herbert Smith Freehills launches 2016 guide to Financial Services Regulation in Asia Pacific
Herbert Smith Freehills has launched its 2016 guide on Financial Services Regulation in Asia Pacific. Please click here to preview this …
MAS takes stringent action against Singapore branch of an international bank for flouting rules
The Monetary Authority of Singapore (MAS) recently announced that it has withdrawn approval from the Singapore branch of an international bank …
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