Category Archives: Regulatory Updates

Circular to intermediaries, responsible officers and licensed representatives – Waiver of annual licensing fees

The Securities and Futures Commission (SFC) has announced that it will waive the annual licensing [...]

SFC consults on proposed subsidiary legislation for implementing an uncertificated securities market in Hong Kong

The Securities and Futures Commission (SFC) has launched a consultation on the proposed subsidiary legislation [...]

1 form specified under section 23 of the Companies Ordinance (Chapter 622) is revised for use under the Ordinance with effect from 1 April 2023

With effect from 1 April 2023, the Application for Disclosure of Protected Information (By solicitor [...]

Compliance Bulletin (Issue No. 7) – (1) Block Trade Execution, (2) Large Open Position (“LOP”) Reporting Procedures for Derivatives Holiday Trading, and (3) Standard Penalties under HKEX Rules

The Exchange has released a Compliance Bulletin to promote transparency and a compliance culture in [...]

New Specialist Technology Company Listing Rules

The Stock Exchange of Hong Kong, which is a subsidiary of HKEX, has announced that [...]

HKMA and BIS co-host international financial regulatory conference

Hong Kong’s recent international financial regulatory conference was organized by the HKMA and the BIS [...]

SFC concludes consultation on introduction of new regulated activity for depositaries of public funds

The Securities and Futures Commission has proposed legislative and code amendments to introduce a new [...]

United Nations (Anti-Terrorism Measures) Ordinance/ United Nations Sanctions (ISIL and Al-Qaida) Regulation

On 17th March 2023, an updated list of terrorists and terrorist associates under the United [...]

Expiry of the Revenue (Reduction of Business Registration Fees and Branch Registration Fees) Order 2022

The current reduction of HK$2,000 in the prescribed business registration fee will expire on 1 [...]

The HKMA’s Response to the US Fed’s Rate Hike

The Federal Reserve raised the target range for the federal funds rate to 4.75-5%, resulting [...]