FSR and Corporate Crime Notes
Tag: securities
Showing 8 out of 8 results
Hong Kong SFC highlights common types of corporate misconduct in acquisitions and disposals
The SFC has recently published its Statement on the conduct and duties of directors when considering corporate acquisitions or disposals. The statement: …
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 …
Hong Kong open-ended fund company regime expected to commence on 30 July 2018
On 18 May 2018, the Hong Kong Securities and Futures Commission (SFC) published the conclusions to its consultation on the …
CHINA’S NEW LIBERALISATION POLICIES FOR THE FINANCIAL SECTOR
China is advancing its policies to open up its markets and attract more foreign investment. This year, the financial sector is one of the focus areas for …
REGULATION IN THE AGE OF CRYPTOCURRENCIES
Blockchain technology is ushering in a new epoch of monetary oversight, creating opportunities and challenges for regulators in a world disrupted by the …
US SUPREME COURT LIMITS THE SCOPE OF "WHISTLEBLOWERS" UNDER DODD-FRANK ACT'S ANTI-RETALIATION PROVISION
On February 21, 2018, the US Supreme Court decided that the Dodd-Frank Act’s whistleblower protections do not extend to an individual who has not …
Spotlight on investor protection: The Hong Kong Financial Dispute Resolution Centre implements a more moderate package of reforms
The Financial Dispute Resolution Centre (FDRC) in Hong Kong has issued its conclusions to its consultation on proposals to significantly expand the …
Securities and Futures (Amendment) Bill 2016 moved for second reading
On 9 January 2017, the MAS announced the Second Reading of the Securities and Futures (Amendment) Bill 2016 (Bill) in the Singaporean Parliament. The …