Events listed in [SFC] Securities and Futures Commission
G.N. 3132 / 2023
ID 23419
The Securities and Futures Commission of Hong Kong, SFC, has officially gazetted a new General Notice, G.N. 3132/2023 pertaining to reporting requirements of licensed corporations. Therein, the regulator stipulates that beginning December 1, 2023, a new electronic form must be used by financial market intermediaries for purposes of reporting on their financial condition for periods ending on or after December 1, 2023. The new ...
Circular to Licensed Corporations and Associated Entities Revised financial return ...
ID 23411
In view of the gazettal of various new notices regarding filing and reporting requirements of licensed corporations and associated entities, the Securities and Futures Commission (SFC) has published a new circular. In the document, the regulator briefly describes the new forms which consist of the following: 1. the financial return form to be submitted by licensed corporations pursuant to section 56 of the Securities ...
G.N. 3131 / 2023
ID 23410
The Securities and Futures Commission of Hong Kong, SFC, has officially gazetted a new General Notice, G.N. 3131/2023 pertaining to reporting requirements of licensed corporations. Therein, the regulator stipulates that beginning December 1, 2023, a new electronic form for the analysis of client assets of associated entities must be used for periods ending on or after December 1, 2023. The new form may also ...
G.N. 3130 / 2023
ID 23402
In view of the upcoming effective date of the Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 on June 1, 2023, the Securities and Futures Commission of Hong Kong, SFC, has published a new General Notice (G.N. 3130/2023) specifying the forms to be used by virtual asset service providers, VASPs, for the application for a license and the notification of various business matters when ...
G.N. 3120 / 2023
ID 23401
In view of the coming into force of the Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 on June 1, 2023, *the Securities and Futures Commission of Hong Kong, SFC, has published a new General Notice (G.N. 3120/2023) in which it officially gazettes the revised [Guideline on Anti-Money Laundering (AML) and Counter Financing of Terrorism (CFT) (For Licensed Corporations and SFC-licensed Virtual Asset Service ...
G.N. 3115 / 2023
ID 23400
In view of the coming into force of the Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 on June 1, 2023, the Securities and Futures Commission of Hong Kong, SFC, has published a new General Notice (G.N. 3115/2023) in which it officially gazettes the new „SFC Disciplinary Fining Guidelines“ to be effective June 1, 2023 as well. The guidelines stipulate the factors the SFC ...
G.N. 3129 / 2023
ID 23392
The Securities and Futures Commission of Hong Kong, SFC, has officially gazetted a new General Notice, G.N. 3129/2023 pertaining to the forms to be used by licensed corporations in relation to registration and related matters. Therein, the regulator stipulates that **beginning June 1, 2023, new registration and notification forms must be used when applying to be authorized in Hong Kong or when notifying the ...
Circular to Licensed Corporations and Associated Entities – Anti-Money ...
ID 23378
**The Securities and Futures Commission of Hong Kong, SFC, has published a circular to announce upcoming changes to the Guideline on Anti-Money Laundering (AML) and Counter Financing of Terrorism (CFT). The changes reflect the changes in the Anti-Money Laundering and Counter-Terrorist Financing Ordinance brought about by the Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 which primarily introduces a new licensing regime for virtual ...
SFC concludes consultation on regulation of virtual asset trading platforms
ID 23367
The Securities and Futures Commission of Hong Kong, SFC, has published a consultation conclusion paper as regards its consultation on proposed requirements for virtual asset trading platforms (VATPs) and virtual asset service providers (VASPs). In its conclusion paper, the regulator briefly describes the responses it has received to its consultation and outlines the final guidelines as they will be implemented from June 1, 2023. ...
SFC consults on revisions to takeovers and share buy-back rules
ID 23326
The Securities and Futures Commission of Hong Kong, SFC, has launched a public consultation on proposed revisions to the Codes on Takeovers and Mergers and Share Buy-backs. The revisions aim to enhance efficiency during a takeover offer, implement existing practices, and make miscellaneous changes throughout to improve clarity on various issues. Some of the changes are briefly outlined below; for all of them, please ...