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Hong Kong SFC announces investor ID regime for Northbound trading under Stock Connect
On 30 November 2017, the Securities and Futures Commission (SFC) announced that it had reached an agreement with the China Securities Regulatory …
Hong Kong SFC publishes consultation conclusions on asset management regulation and launches further consultation
On 16 November 2017, the Securities and Futures Commission (SFC) in Hong Kong published its consultation conclusions on proposals to enhance asset …
Hong Kong regulators warn of common instances of non-compliance in asset management
The Hong Kong Securities and Futures Commission (SFC) has recently conducted around 250 inspections of licensed corporations engaged in asset management …
Hong Kong SFC publishes consultation conclusions and guidelines for reducing and mitigating hacking risks related to internet trading
On 27 October 2017, the Securities and Futures Commission (SFC) in Hong Kong issued a circular and Guidelines for Reducing and Mitigating Hacking Risks …
FCA publishes proposals to extend the Senior Managers and Certification Regime
The FCA has published proposals to replace the Approved Persons Regime with the Senior Managers and Certification Regime (SMCR) currently in force for …
UK FCA ASSET MANAGEMENT MARKET STUDY – FINAL REPORT
On 28 June 2017, the FCA published the highly anticipated final findings of its Asset Management Market Study ("Final Report"), which can be accessed …
Managing risk: a disputes perspective (2017)
Herbert Smith Freehills recently held its annual disputes client conference exploring some key legal and compliance risks facing major corporates. …
Showing 7 out of 7 results
