SFC

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

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)

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?

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