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SFO s.213 remedy for aggrieved public investors against Person(s) Unknown in securities fraud

In Securities And Futures Commission v An Unknown Person Or Persons Purporting To Carry On A Securities And/Or Futures Trading Business Known As Cardell Ltd And/Or Cardell Co… LEARN MORE

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Court of Final Appeal holds that insider dealing of overseas listed securities is prohibited under section 300 of the Securities and Futures Ordinance

In our March 2016 and December 2017 newsletters, we reported the respective Judgments of the Court of First Instance and the Court of Appeal in The Securities and Futures Commission… LEARN MORE

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Rules of the High Court and related case law highly relevant in competition tribunal hearings

Background In the recent decision, Competition Commission v W. Hing Construction Company Limited [2018] 5 HKLRD 437 (the Decision), the Competition Tribunal (the Tribunal) applied… LEARN MORE

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Can an employer refuse to grant leave to employees during the festive seasons?

Christmas, Lunar New Year and other long public holidays (Public Holidays) are peak seasons for a lot of businesses. It appears from a recent news report that some employers set… LEARN MORE

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When is failure to renew pregnant employee’s employment contract unlawful?

The recently reported news of a community service centre’s (Centre) refusal to renew the employment contract of a pregnant employee (Employee) sparked concerns over possible employment… LEARN MORE

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Modernisation of SFC licensing process

New licensing forms and questionnaires  On 1 February 2019, the SFC issued a circular which announced the introduction of new licensing forms and supplements with effect from… LEARN MORE

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SFC licensing and compliance hints

Is the SFC more flexible under the new AML Guideline about who can verify ID documents? Yes, licensed corporations may now accept a wider group of professional persons as certifiers.… LEARN MORE

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Licence revocation for window-dressing of liquid capital

On 4 February 2019, the SFC announced that it had revoked the licence of W. Falcon Asset Management (Asia) Limited (Falcon) for the following breaches in connection with its window-dressing… LEARN MORE

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Don’t forget your Macau filings for authorised funds

It is common for managers with funds authorised by Hong Kong’s Securities and Futures Commission (SFC) also to register their SFC-authorised funds with the Monetary Authority… LEARN MORE

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Timing of derivative fund categorisation for SFC-authorised funds

The industry has a 12-month transition period from 1 January 2019 to categorise and notify the SFC whether their SFC-authorised funds are “derivative funds” (i.e. they have more… LEARN MORE

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