Oversight
Past issues
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Submitted: 02 May 2012
An explanation of the Securities and Futures (Short Position Reporting) Rules in light of the SFC’s FAQs, Notes to Reportable Short Position Form and User Guide.
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Submitted: 06 March 2012
The SFC recently released their final conclusions on the short position reporting regime which will introduce a weekly reporting regime for holders of reportable short positions in Hong Kong.
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Submitted: 23 February 2012
Coming into effect on 1 April 2012, the SFC's consultation conclusions on the new AML Guidelines highlight a number of key changes for SFC licensed corporations which have been made to the Guideline from the Existing Guidance Note.
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Submitted: 17 February 2012
The SFC issued the Guidelines to fund managers on dealing disclosure obligations under Rule 22 of the Takeovers Code (Guidelines) on 29 December 2011.
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Last Reviewed: 28 January 2012 / Submitted: 28 January 2012
Asia’s two competing international financial centers – Hong Kong and Singapore, have traditionally taken different approaches to the further regulation of hedge fund managers.
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Last Reviewed: 09 December 2011 / Submitted: 09 December 2011
Our funds regulatory specialists outline the current requirements for approval as a permissible MPF investment and analyse the MPFA's approach to the approval of ETFs as a permissible MPF investments.
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Last Reviewed: 26 October 2011 / Submitted: 26 October 2011
The Hong Kong SFC`s Conclusions and Further Consultation of 18 October 2011 on the proposed Securities and Futures (Short Position Reporting) Rules inviting comment by 04 November 2011 on the requirement to report on a net basis.
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Last Reviewed: 28 September 2011 / Submitted: 28 September 2011
New investor characterisation requirements under the Code of Conduct for Persons Licensed by or Registered with the SFC applicable to derivative products finally came into effect on 04 September 2011. This article considers the application of these requirements, in particular paragraph 5.1A and how it relates to funds.
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Last Reviewed: 12 July 2011 / Submitted: 12 July 2011
Following the global financial crisis credit rating agencies (CRAs) have been subject to greater regulatory scrutiny, and this has not escaped the watchful eye of Hong Kong`s regulators.
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Last Reviewed: 27 June 2011 / Submitted: 27 June 2011
Hong Kong`s SFC recently issued two papers explaining the regulatory framework for, and approach to, supervising intermediaries.
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