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The Hong Kong Court of First Instance rejected a claim that it had jurisdiction to determine whether a trade association violated the Competition Ordinance. The court reasoned that determination...
六月 2017
International law firm, Simmons & Simmons has released a new research report which shows how many large financial institutions are struggling to innovate fast enough. Hyperfinance, the firm’s...
六月 2017
With the effective date of the Insurance Companies (Amendment) Ordinance fast approaching, at which time the Independent Insurance Authority (“IIA”) will take over the work of the Office of the...
六月 2017
Hong Kong's securities regulator said on 27 April it would take "a hard look" into pledging of shares for loans, such as in the case of China Huishan Dairy Holdings Co Ltd which last month saw a...
五月 2017
Hong Kong's securities and banking regulators have issued a joint consultation proposing certain carve-outs from requirements under the over-the-counter ("OTC") derivatives regulatory regime....
五月 2017
In a recent speech, Ashley Alder, chief executive of the Securities and Futures Commission ("SFC"), discussed how the regulator tackles market risks across its operations. He also described a...
五月 2017
Better access to licensing information held by Hong Kong's Securities and Futures Commission ("SFC") will make life easier for compliance and legal staff at the territory's banking and...
五月 2017
Asia's private banking sector is one main area where the Markets in Financial Instruments Directive ("MiFID II") will see the biggest impact, said consultants.  MiFID II is a EU...
五月 2017
The Hong Kong government, along with the territory's three major financial regulators, released a final report on Thursday, 6 April following a public consultation on the local...
四月 2017
The launch of the manager-in-charge ("MIC") regime in Hong Kong in two weeks has sparked concerns about whether other Asian jurisdictions will introduce similar rules. The MIC regime...
四月 2017
A period of severe turmoil is facing the securities research industry as a regulatory overhaul threatens the way investment research is done. Online portals, in particular, are set to gain market...
四月 2017
As has been widely reported in the media, the Competition Commission ("CC") announced on 26 March that it has, for the first time, commenced proceedings in the Competition Tribunal ("CT"). In a long-...
四月 2017
Sapin II places significant obligations on large companies to implement anti-corruption compliance controls. Failure to have an effective compliance programme in place, regardless of whether...
四月 2017
Recently proposed amendments to Hong Kong's professional investor regime should benefit compliance and legal professionals since they reflect evolving market practice, industry officials...
三月 2017
The Securities and Futures Commission ("SFC") has fined BOCOM International (Asia) ("BIAL") HK$15 million for failure to discharge its duty as a sponsor in relation to the attempted listing of a...
三月 2017
The risk-based approach to anti-money laundering and know-your-customer compliance is not without its problems, especially in the context of client onboarding and transaction monitoring, a senior...
三月 2017
The Hong Kong Monetary Authority ("HKMA") will set up a resolution office on 1 April, as part of the regulator's plan to ensure the Hong Kong resolution regime is...
三月 2017
Hong Kong's Securities and Futures Commission ("SFC") has announced that it will implement proposed changes to the position limit regime in the territory, following a consultation on the matter...
三月 2017
Asian banks are far from ready for implementation of the International Financial Reporting Standard 9 ("IFRS9") unless local banking regulators are able to ascertain how impairment will be treated...
三月 2017
Hong Kong’s forthcoming “manager-in-charge” regime will likely increase the risk of the Securities and Futures Commission (“SFC”) taking enforcement action against senior managers, given the personal...
二月 2017