SFC

受監管實體的「自行申報」或延遲申報登上新聞標題,是時候想想一些基本的考慮因素。監管機構喜歡受監管實體和個人的自行申報,因為這使監管機構的工作更加輕鬆,讓它們能清理文件,節省金錢。 在香港的監管機構中,證券及期貨事務監察委員會最近積極提醒持牌及註冊企業、機構及人士遵守證監會《操守準則》的通知規定,若有任何違反或不遵守(實際或懷疑)《操守準則》的任何規則或規例,有責任立即向證監會報告...
前證券及期貨事務監察委員會主席梁定邦資深大律師,最近被任命為獨立監察警方處理投訴委員會(監警會)主席。他接受《香港律師》的專訪,暢談監警會的目標和願景,並回顧了從低做起,到達事業高峰的職業生涯。 梁定邦資深大律師的職業生涯始於60年代,除了建立了成功的大律師事務外,幾十年來他一直服務香港,但很少人預計他會攀至頂峰,因為展開事業時他並沒有大學學位。 憑著努力和決心,他克服了早期劣勢。...
Ashley Alder, the chief executive of the Hong Kong Securities and Futures Commission and newly appointed chairman of the International Organisation of Securities Commissions ("IOSCO"), has...
Hong Kong's securities regulator has asked fund managers in the territory to ensure they manage their liquidity risk in line with international expectations and local best practices, amid concerns...
Hong Kong's securities regulator will soon publish guidance on liquidity risk management for authorised funds in the territory, building upon recent international developments in the field, the...
Hong Kong's banking regulator has outlined three levels of severity for supervisory actions on regulated entities, as part of an effort to enhance transparency around its risk-based approach to...
Hong Kong's securities regulator has ordered a broker to stop processing cash and shares held in a client account, saying they were suspected to be the proceeds of insider dealing. The broker,...
The Hong Kong Securities and Futures Commission ("SFC") has had its appeal against a lower court ruling turned down by the Court of First Instance. The SFC had appealed a decision by...
The structure for regulatory supervision of the Stock Exchange of Hong Kong could be in for a revamp, with the stock market regulator and the exchange operator planning to consult the...
Hong Kong's securities regulator said on Wednesday, 18 May that Chinese e-commerce giant Alibaba Group Holding Ltd breached takeover rules in the purchase of a healthcare firm in 2014 because it...
The chief executive of Hong Kong’s securities regulator, Ashley Alder, has been appointed chairman of the Madrid-headquartered International Organization of Securities Commissions ("IOSCO...
In one of the first cases of its kind, the Hong Kong Securities and Futures Appeals Tribunal ("SFAT") has affirmed the decision of the Securities and Futures Commission ("SFC") to...
Hong Kong's securities regulator has banned Andrew Chow Ho Cheung from the industry for life, after he was found guilty by the court last year of fraud and stealing from customers' accounts....
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