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Oversight April 2019 - Offline distribution of Complex Products

Newsletter

Submitted: 04 April 2019

This Oversight summaries the new requirements for offline distribution of complex products per the revised Code of Conduct for Persons Licensed or Registered with the SFC.
Oversight March 2019 - Hong Kong tax regime for funds set to change

Newsletter

Submitted: 21 March 2019

This Oversight considers material changes to profits tax exemption for non-resident funds under an amendment bill gazetted on 07 December 2018.
Oversight February 2019 - Revamp of SFC licensing processes

Newsletter

Submitted: 25 February 2019

This Oversight provides an overview of the revised licensing process announced by the SFC on 01 February 2019.
Oversight February 2019 - SFC issues Guide on the Use of Financial Derivative Instruments for Unit Trusts and Mutual Funds

Newsletter

Submitted: 15 February 2019

This Oversight considers the Guide on the Use of Financial Derivative Instruments for Unit Trusts and Mutual Funds published by the SFC on 17 December 2018.
Legal Headwinds: Asia - Quarterly Report - Q1 2019

Newsletter

Submitted: 13 February 2019

The Q1 2019 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.
Oversight December 2018 - SFC Consultation Conclusions on Proposed Amendments to Code on Unit Trusts and Mutual Funds

Newsletter

Submitted: 31 December 2018

This Oversight covers the key points in the Consultation Conclusions on Proposed Amendments to Code on Unit Trusts and Mutual Funds published by the Securities and Futures Commission on 6 December 2018.
So you want to set up a securities token exchange under the SFC’s regulatory sandbox?

Article

Submitted: 29 November 2018

On 01 November 2018, the SFC issued a policy statement which introduces, among others, a conceptual framework for licensing and regulating virtual asset trading platforms through a regulatory sandbox. The policy statement provides clarity on the regulatory standards for operating a cryptocurrency exchange under the supervision of the SFC.
Oversight November 2018 - SFC Consultation Conclusions on Online Distribution and Complex Products

Newsletter

Submitted: 27 November 2018

The purposes of this Oversight are to provide an overview of the SFC’s Guidelines on Online Distribution and Advisory Platform and the revised Code of Conduct for Persons Licensed by or Registered with the SFC and to highlight the key issues and implications on industry participants.
Legal Headwinds: Asia - Quarterly Report - Q4 2018

Newsletter

Submitted: 31 October 2018

The Q4 2018 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.