Asset Management

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• Oversight April 2017 - Consultation Conclusions regarding the Hong Kong Position Limit Regime

  Newsletter

  Submitted: 06 April 2017

  SFC's consultation conclusions adopted proposed amendments to the Hong Kong position limit regime.

• Oversight April 2017 - SFC proposes further amendments to Professional Investor Rules

  Newsletter

  Submitted: 05 April 2017

  SFC's consultation seeks to revise the PI Rules, potentially expanding the scope of professional investors who are allowed to invest in non-SFC registered funds.

• Oversight February 2017 - Hong Kong Fund Manager Code of Conduct set to change

  Newsletter

  Submitted: 01 February 2017

  This Oversight provides an overview of the proposed changes to the Fund Manager Code of Conduct suggested by the SFC when the Consultation Paper on Proposals to Enhance Asset Management Regulation and Point-of-sale Transparency was launched at the end of November 2016.

• Oversight January 2017 - Hong Kong's "Manager-in-Charge" regime

  Newsletter

  Submitted: 23 January 2017

  This Oversight outlines the SFC's new regime targeting individual accountability of senior managers in licensed corporations.

• Oversight January 2017 - Mutual Recognition between Switzerland and Hong Kong for Funds

  Newsletter

  Submitted: 23 January 2017

  This Oversight provides a summary of the Memorandum of Understanding concerning the Mutual Recognition of Funds and Asset Managers between Switzerland and Hong Kong.

• Oversight January 2017 - SFC FAQs on Client Agreement Requirements and on Suitability Obligations

  Newsletter

  Submitted: 20 January 2017

  This Oversight discusses the key points of the SFC’s FAQs on client agreement requirements and on the compliance with and triggering of suitability obligations.

• Oversight January 2017 - Hong Kong opens the door to leveraged and inverse ETFs tracking Hong Kong indices

  Newsletter

  Submitted: 16 January 2017

  This Oversight provides a summary of the SFC's circulars on leveraged and inverse products and an overview of the regime for and recent developments of these products in Hong Kong.

• Oversight October 2016 - SFC Circular to Managers of retail funds on liquidity risk management

  Newsletter

  Submitted: 21 October 2016

  This Oversight provides a brief summary of the Circular including the SFC’s recommendations.

• Oversight September 2016 - SFC updates FAQs on Offers of Investments in relation to real estate arrangements

  Newsletter

  Submitted: 22 September 2016

  The Securities and Futures Commission of Hong Kong issued an updated version of its FAQs in relation to "Offers of Investments" under the Securities and Futures Ordinance of Hong Kong (SFO), which provides further guidance with regard to Part IV of the SFO and collective investment schemes connected with interests in real property.

• Oversight August 2016 - Leveraged and inverse ETFs in Hong Kong and Singapore

  Newsletter

  Submitted: 24 August 2016

  This Oversight provides a brief summary of the regimes for leveraged and inverse products structured as ETF in Hong Kong and Singapore.

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