Knowledge

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📖 April 2022
Cross Border Liquidation and Restructuring (Click here to download)

Financial Services →

📖 June 2023

Smart Contract (Click to download)

📖 April 2023

Sanctions Regime in Hong Kong (Click here to download)

📖 April 2023

Customer Supplied Systems Surveillance (Click here to download)

📖 March 2023

New Chapter of Listing Rules Unveiled (Click here to download)

📖 March 2023

New Regulatory Regime for Virtual Asset Trading Platform Operators Rolled Out (Click here to download)

📖 February 2023

8 Key Proposed Regulatory Requirements for Virtual Asset Trading Platform Operator (Click here to download)

📖 November 2022
Constitutionality of Restriction Notice Upheld by Court (Click here to download)

📖 September 2022
Repurchase Argeement (Click here to download)

📖 September 2022
Exit Plan Submitted to SFC (Click here to download)

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📖 August 2022
ISDA and Documentation Architecture (Click here to download)

📖 February 2022
Letter of No Consent Regime under Judicial Review (Click here to download)

📖 January 2022
Investor Identification Regime (Click here to download)

📖 October 2021
Seven Key Update to AML Guideline (Click here to download)

📖 September 2021

Settlement with SFC In Disciplinary Proceedings (Click here to download)

📖 May 2021
New virtual assets regulatory framework (Click here to download)
📖 February 2021
Review of Internet Trading Cybersecurity (Click here to download)

📖 December 2020
Regulatory Requirements for Corporate Client’s Customer Due Diligence (Click here to download)

📖 December 2020

📖 May 2020
Secrecy Obligations and Disclosures (Click here to download)

📖 March 2020
Licensing Obligations of Family Offices (Click here to download)

📖 January 2020
Regulatory Requirements for External Electronic Data Storage (Click here to download)

📖 November 2019
Good Practice for Sale of In-house Products (Click here to download)

📖 July 2019
A New Way for Overseas Individual Client Onborading (Click here to download)

📖 July 2019
New Regulatory Requirements to Protect Client Assets – Adopting a Standardized Acknowledgement Letter (Click here to download)

📖 June 2019
Guidelines on Third Party Deposit and Payment from the SFC (Click here to download)

📖 November 2018
Key SFC Licensing Issues for Virtual Asset Managers, Virtual Asset Funds Distributors and Virtual Asset Trading Platform Operators (Click here to download)

📖 November 2018
The Hong Kong Open-ended Fund Company – will it mark the end of the use of offshore funds for Hong Kong private fund managers? (Click here to download)

📖 April 2018
Revisions to the Fund Manager Code of Conduct – the Countdown Begins (Click here to download)

📖 April 2017
A Regime for Fostering Accountability of Senior Management (Click here to download)

📖 January 2017
Suitability Obligation in Client Agreements (Click here to download)

📖 April 2016
New Professional Investor Regime (Click here to download)

📖 January 2016
Have Regulatory Developments In Hong Kong Kept Pace With The Private Funds Industry (Click here to download)

📖 June 2014
Key Issues in Getting an SFC License for Alternative Fund Managers (Click here to download)