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  • 美国机构投资者Form 13(f)申报简介

    杂谈 | 2024-07-31 | 西环咸鱼

    1975 年,美国国会通过了《证券交易法》第 13(f 条,旨在提高机构投资者证券持有信息的公开程度,增强投资者对美国证券市场诚信度的信心。 美国大型机构投资者每个季度需要证监会(...

  • 香港OFC与开曼SPC比较

    Resources | 2024-07-26 | 西环咸鱼

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  • Hedge fund manager disgorge $5.6 million illicit profit from false trading and disqualified 4yrs

    执法行动 | 2024-07-19 | 西环咸鱼

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  • False personal dealing report, SFC bans Wu Chao for three years and seven months

    执法行动 | 2024-07-19 | 西环咸鱼

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  • Summary for SFC Circular July 3, 2024 for FRR rules

    Regulatory Updates | 2024-07-05 | 西环咸鱼

    On July 3, 2024, SFC issued a circular to licensed corporations -...

  • 香港的监管机构是否有针对量化基金公司的特别监管规定?

    杂谈 | 2024-06-27 | 西环咸鱼

    虽然香港证监会并没有针对量化基金公司做出专门的监管规定,但相较于传统的基金经理手动发出投资、交易指令,量化交易可能需要遵守有关电子交易和程式买卖的监管要求(采用自动算法执行交易的券商经纪业务也适用这些规定),主要包括:(1)《持牌人操守准则》第18段有关電...

  • Are there any special regulatory provisions for quantitative fund companies in Hong Kong?

    杂谈 | 2024-06-19 | 西环咸鱼

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  • note: review points for ISDA schedule

    Resources | 2024-06-19 | 西环咸鱼

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  • Summary: Findings of SFC-HKMA review of the distribution of non-exchange traded investment products

    Regulatory Updates | 2024-05-02 | 西环咸鱼

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  • 有关香港法规合规性及IPO资讯分享

    Resources | 2024-04-17 | 西环咸鱼

    香港法规合规性 | Charltons 易周律师行 (charltonslaw.com.cn 易周律师行上面偶尔会发表一些有关合规、IPO的文章,写的不错,分享给大家。合规方面文章如下:...

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最近发表
  • 美国机构投资者Form 13(f)申报简介
  • 香港OFC与开曼SPC比较
  • Hedge fund manager disgorge $5.6 million illicit profit from false trading and disqualified 4yrs
  • False personal dealing report, SFC bans Wu Chao for three years and seven months
  • Summary for SFC Circular July 3, 2024 for FRR rules
  • 香港的监管机构是否有针对量化基金公司的特别监管规定?
  • Are there any special regulatory provisions for quantitative fund companies in Hong Kong?
  • note: review points for ISDA schedule
  • Summary: Findings of SFC-HKMA review of the distribution of non-exchange traded investment products
  • 有关香港法规合规性及IPO资讯分享
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