17 articles, organised by topic and year

The Regulatory Framework for the Hong Kong Banking Sector

The Hong Kong banking regulatory system is a comprehensive multi-tiered and multi-dimensional framework designed to safeguard the soundness

Definition of asset management under SFO

The definition of asset management is provided in Part 2 of Schedule 5, the Securities and Futures Ordinance (Cap. 571) asset management ( 資產管理 )

Regulatory Lessons from UBS AG’s HK$8 Million Fine for Misclassification of Professional Investors

Regulatory Lessons from UBS AG’s HK$8 Million Fine by the SFC for Misclassification of Professional Investors I. Case Background The Hong Kong Securities and Futures Commission (SFC) has publicly reprimanded and fined UBS AG (UBS) HK$8 mill

Using AI Browsers in Legal and Compliance Work – Comet Recommended

China Securities Regulatory Commission Opens ETF Options Trading to QFIs

Translated by AI: I. Regulatory Policy Background On June 18, 2025, China Securities Regulatory Commission (CSRC) Chairman Wu Qing delivered a keynote speech at the 2025 Lujiazui Forum (Full speech:

Comparison of Hong Kong OFC and Cayman SPC

Note: The following focuses mainly on a comparison between the umbrella-type Hong Kong Private OFC (Open-ended Fund Company) and the Cayman SPC (Segregated Portfolio Company)

Applying for Hong Kong SFC Type 1, 4, and 9 Licenses Handbook

Hong Kong, as a global financial center, provides a well-established licensing regime through the Securities and Futures Commission (SFC)

New position limits for key exchange-traded derivatives to take effect

June 27, 2025 With effect from 2 July 2025 , the position limits for the futures and options contracts of Hang Seng Index, Hang Seng China Enterprises Index and Hang Seng TECH Index will be increased by 50%, 108% and 43% respectively. The p

Summarize SFC Circular: Review of internal controls on client asset protection

Original webpage link Circular to licensed corporations Review of internal controls on client asset protection | Securities & Futures Commission of Hong Kong

SFC issues restriction notice to GA (Int'l) Capital Management Limited and conducts search operation

Article Source: SFC issues restriction notice to GA (Int'l) Capital Management Limited and conducts search operation | Securities & Futures Commission of Hong Kong

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

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

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

note: review points for ISDA schedule and CSA -20250902 updated

I. 2002 ISDA Master Agreement Section Titles 一、 《

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

About the website and me

To avoid any misunderstanding, it should be noted that this website has no any relationship with SFC ( The Securities and Futures Commission of Hong Kong ) or its official website (