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Corporate Crime update - December 2019
The month ahead in financial services regulatory developments…
Casting the regulatory net over virtual assets – HK's SFC finalises new regulatory framework for virtual asset trading platforms
On 6 November 2019, Hong Kong's Security and Futures Commission (SFC) issued a position paper setting out a new regulatory framework for the licensing of …
Financial Crime, Market Abuse and Enforcement Timeline - October 2019
HKMA to monitor industry’s progress in preparing for transition from IBORs to ARRs
In a circular issued to authorised institutions (AIs) on 23 October 2019, the Hong Kong Monetary Authority (HKMA) indicated that it will conduct a …
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 …
Corporate Crime update - Autumn 2019
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 …
Corporate Crime & Investigations Podcast Episode 2: Suspicious Activity Reports
Hong Kong SFC consults on new type 13 regulated activity to regulate depositories of public funds
Last Friday, the Securities and Futures Commission (SFC) launched a consultation on proposals to regulate depositaries (trustees and custodians) of …
Corporate Criminal Liability and Internal Investigations – Expected Legislative Changes in Germany
In their March 2018 coalition agreement, the coalition partners CDU, CSU and SPD have agreed to establish new rules on criminal sanctions against …
The new regulatory regime for insurance intermediaries in Hong Kong – are you ready for 23 September 2019?
On 23 September 2019, the new statutory regime for the regulation of insurance intermediaries will take effect. This represents the final stage of …
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