FSR and Corporate Crime Notes

ESMA publishes report on product intervention measures under MiFIR

The European Securities and Markets Authority (“ESMA”) has recently published final technical advice on the effects of product intervention measures …

FCA publishes Dear CEO letters to asset managers and alternative investment firms

FCA reports on asset management risk modelling and portfolio management tools for operational resilience

FCA warns CEOs to tackle non-financial misconduct

The month ahead in financial services regulatory developments…

FCA Deploys Temporary Intervention Powers to Ban Mass Marketing of Mini-Bonds

SFC sets out standards expected of asset managers in considering private fund and discretionary account arrangements and transactions

On 21 November 2019, the Securities and Futures Commission (SFC) published a circular to licensed corporations regarding dubious private fund and …

Crypto assets and the market abuse regulation: Main challenges

SFC and CSRC agree to commence preparations for Stock Connect southbound investor ID regime

The Hong Kong Securities and Futures Commission (SFC) and the China Securities Regulatory Commission (CSRC) have reached a consensus to commence …

Hong Kong SFC publishes licensing conditions for virtual asset fund managers

On 4 October 2019, the Securities and Futures Commission (SFC) published proforma terms and conditions which will apply to virtual asset fund …

Hong Kong SFC highlights inadequacies and deficiencies in fund managers’ liquidity risk management practices

The Securities and Futures Commission (SFC) has recently issued a circular on the outcome of its survey and inspection of selected fund managers …

Hong Kong SFC launches key risk indicator platform to enhance risk monitoring

Last Friday, the Securities and Futures Commission (SFC) issued a circular to announce the launch of a key risk indicator (KRI) platform to collect and …