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US District Court considers attorney-client privilege and work product doctrine in internal investigations
The US District Court for the Southern District of New York recently granted a motion to compel the production of documents gathered during an internal …
Hong Kong’s top court clarifies mental element in money laundering offence
In the recent case of HKSAR v Pang Hung Fai (FACC 8/2013), the Court of Final Appeal (the CFA) offered, for the first time, authoritative guidance on the …
US and HK regulators in pursuit of credit rating and research firms
On 21 January 2015, the United States Securities Exchange Commission announced sanctions against credit rating firm, Standard & Poor’s Rating …
China plans to reshuffle foreign investment regulation
After a long wait, on 19 January 2015, China's Ministry of Commerce (MOFCOM) released the draft Foreign Investment Law for public comment. The …
SFC seeks new power to provide assistance to overseas regulators on supervisory matters
On 19 December 2014, the Securities and Futures Commission (the “SFC”) launched a consultation on proposed amendments to the Securities and Futures …
HKMA announces findings of its investigation into FX trading operations of HK banks
On 19 December 2014, the Hong Kong Monetary Authority (HKMA) announced the outcome of its investigation into the foreign exchange (FX) trading operations …
Property tycoon and former Chief Secretary jailed in Hong Kong’s highest-level corruption trial
Thomas Kwok, chairman of Sun Hung Kai Properties, Rafael Hui Si-yan, former Government number two, and two businessmen have been found guilty and …
Market abuse update - December 2014
The FCA has continued to build on the strong track record of civil and criminal enforcement action against abusive conduct and manipulation, notably in …
Hong Kong revises and further consults on draft rules for mandatory reporting of OTC derivatives and related record-keeping
The Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) have published consultation conclusions on the draft rules for …
Transparency International publishes CPI 2014
Transparency International (TI) has published the Corruption Perceptions Index (CPI) 2014. This is the 20th annual edition of the CPI, which ranks …
OECD Foreign Bribery Report
The Organisation for Economic Cooperation and Development (OECD) released its Foreign Bribery Report (Report) this week. The Report is the OECD’s …
Hong Kong regulators call on senior management to ensure that their firm's information security management and system security controls are effective
Senior Managers of firms licensed by the Securities and Futures Commission ("SFC") should take heed of the twin circulars recently issued by the …
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