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Searching Content indexed under Securities by Herbert Smith Freehills ordered by Published Date Descending.
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Hong Kong SFC Consults On New Type 13 Regulated Activity To Regulate Depositories Of Public Funds
Last Friday, the Securities and Futures Commission (SFC) launched a consultation on proposals to regulate depositaries (trustees and custodians) of SFC-authorized...
Hong Kong
8 Oct 2019
2
Hong Kong SFC Launches Key Risk Indicator Platform To Enhance Risk Monitoring
Last Friday, the Securities and Futures Commission (SFC) issued a circular to announce the launch of a key risk indicator (KRI) platform to collect and analyse KRI data from selected licensed
Hong Kong
4 Sep 2019
3
The Month Ahead In Financial Services Regulatory Developments...
In this blog post, we round-up forthcoming developments in the UK and at EU and International levels in financial services regulation for August 2019.
UK
19 Aug 2019
4
Hong Kong Stock Exchange Revises Listing Rules To Tighten Restrictions On Backdoor Listings
The Hong Kong Stock Exchange has finalised its proposed amendments to the Listing Rules to tighten restrictions on backdoor listings and continuing listing criteria.
Hong Kong
7 Aug 2019
5
SFC, CSRC And MOF Sign Tripartite MOU On Access To Audit Working Papers Kept In Mainland China
Last week, the Hong Kong Securities and Futures Commission (SFC) signed a tripartite memorandum of understanding (MOU) with the China Securities Regulatory Commission
Hong Kong
30 Jul 2019
6
SFC Compliance Forum 2019: The SFC Outlines Its Key Supervisory Priorities For The Year Ahead
The Securities and Futures Commission (SFC) held its third annual Compliance Forum (Forum) on 17 June 2019 – a series of six panel discussions with industry participants:
Hong Kong
24 Jul 2019
7
Hong Kong SFC Highlights Common Types Of Corporate Misconduct In Acquisitions And Disposals
The SFC has recently published its Statement on the conduct and duties of directors when considering corporate acquisitions or disposals.
Hong Kong
24 Jul 2019
8
Credit Card Firms Start Sharing Customer Behavourial Data - A New, Improved Crystal Ball For Responsible Lenders?
In December 2008 a group of credit card issuers increased the information they share with each other to include so-called "behavioural" account data for the first time. It is hoped that this will assist lenders to predict which customers, or prospective customers, are at greater risk of over-indebtedness and to support responsible lending by preventing "credit crises" on an individual scale.
UK
12 Mar 2009
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