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Hong Kong Court of Final Appeal clarifies “innocent purpose” defence to insider dealing
The Hong Kong Court of Final Appeal (CFA) has recently allowed the Securities and Futures Commission’s (SFC) appeal against the Market Misconduct …
Casting the regulatory net over virtual assets – new regulation in Hong Kong for crypto fund managers, fund distributors and trading platforms
Yesterday, the Securities and Futures Commission (SFC) published a statement (Statement), together with a press release, setting out its new regulatory …
SANCTIONS CLAUSES IN A CHANGING SANCTIONS REGIME
How far can a sanctions clause protect a party from having to perform their contractual obligations - and in the case of Iran-related sanctions concerns, …
Navigating data privacy laws in multi-jurisdictional investigations
Our investigations team has published an article for Thomson Reuters Regulatory Intelligence looking at the impact of data privacy laws on investigations …
FATCA Update: First-ever conviction signals increased enforcement risk
The former CEO of Saint Vincent-based Loyal Bank pleaded guilty and was convicted on 11 September of conspiring to defraud the US by failing to comply …
SFC issues further reminder regarding paragraph 12.5 self-reporting obligation
The SFC has issued a circular to remind intermediaries to comply with the self-reporting obligation under paragraph 12.5 of the Code of Conduct for …
Thailand's new anti-corruption law targets foreign corporates
Thailand is the latest Asian jurisdiction to strengthen its anti-graft legislation. India, Japan, Singapore, Malaysia, Vietnam and China have all …
SFC publishes AML/CFT inspection findings and urges intermediaries to ensure compliance
The Securities and Futures Commission (SFC) issued a circular on 31 August 2018 highlighting both deficiencies and good practices observed in relation to …
Stock Connect Northbound Investor ID Model set to launch on 17 September 2018
Late last month, the Securities and Futures Commission (SFC) announced that agreement had been reached with the China Securities Regulatory Commission …
Herbert Smith Freehills edits and contributes chapters to Getting the Deal Through – Financial Services Litigation 2018
There has been a significant rate of global growth of litigation in the financial services sector following the 2008 global financial crisis. While the …
HKMA endorses benefits of cooperation
The Hong Kong Monetary Authority (HKMA) has recently released its first Guidance Note on Cooperation with the HKMA in Investigations and Enforcement …
Corporate Crime summer update 2018
Welcome to the summer 2018 edition of our corporate crime update - our round up of developments in relation to corruption, money …
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