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HERBERT SMITH FREEHILLS’ 2019 GUIDE TO CORPORATE INVESTIGATIONS IN CHINA
Authors: Kyle Wombolt and Anita Phillips Kyle Wombolt, global head of corporate crime and investigations, and Anita Phillips, professional support …
SFC seeks to halt "rolling bad apples" in their tracks with licensing reforms
On 1 February 2019, the Securities and Futures Commission (SFC) announced significant changes to its licensing forms and processes (Licensing Reforms). …
SINGAPORE PAYMENTS AND FINTECH UPDATE
In this bulletin we cover the following key developments in the payments and fintech space: Payment Services Bill: On 14 January 2019, the Payment …
SFC publishes findings and guidance on protection of client assets following reviews of brokers’ internal controls and supervision of account executives
Last month, the Securities and Futures Commission (SFC) published a circular, a report and a self-assessment checklist to provide guidance on the …
Hong Kong Insurance Authority prepares for direct regulation of insurance intermediaries in mid-2019 – what is the progress so far?
It is anticipated that in around mid-2019, the Insurance Authority (IA) will take over the regulation of insurance intermediaries from the three …
Corporate Crime update - December 2018
Welcome to the December 2018 edition of our corporate crime update - our round up of developments in relation to corruption, money laundering, …
HKMA set to turn up the heat on bank culture in 2019
On 19 December 2018, the Hong Kong Monetary Authority (HKMA) announced that it will introduce supervisory measures (Supervisory Measures) focused …
From offline to online: upholding investor protection in sale of complex products
As investment services go digital, Hong Kong regulators have found it necessary to issue tailored guidance to protect investors. From 6 April and 23 …
Revamped SFC Code on Unit Trusts and Mutual Funds targeted for implementation on 1 January 2019 with transitional period
On 6 December 2018, the Securities and Futures Commission (SFC) published the conclusions to its consultation on proposed amendments to the Code on Unit …
China's new law on judicial assistance in criminal matters will impact investigations
The People's Republic of China recently enacted a new law that will impact foreign authorities, corporations and individuals involved in overseas …
Corporate Crime autumn update 2018
Welcome to the autumn 2018 edition of our corporate crime update - our round up of developments in relation to corruption, money …
Hong Kong SFC commences thematic review of risk governance and oversight frameworks, including assessment of risk management MICs
Last Friday, the SFC announced (via a circular) that it had commenced a thematic review of selected licensed corporations (LCs) to assess their risk …
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