SFC Licensing Basics: What Are the Different Types of SFC Licenses?   When applying for an SFC license in Hong Kong, the type of license depends on the regulated activities a corporation intends to carry on. The Securities and Futures...

SFC Licensing Basics: What is a Responsible Officer (RO)? When applying or maintaining an SFC license, a Responsible Officer (RO) is one of the key roles within a licensed corporation. Understanding the basic requirements applicable to ROs can help licensed...

SFC Annual Report Higlights 2025 – 2026 🔔 SFC Annual Report 2025 – 26: Key Highlights 🔔 The SFC’s latest Annual Report features the regulator’s strategic priorities as Hong Kong continues to strengthen its market resilience, competitiveness and responsible innovation....

Navigating the latest Over-the-Counter (“OTC”) Derivatives Reporting Regime Regulatory Alert: Hong Kong’s Latest OTC Derivatives Reporting Regime is Here The transitional window for Hong Kong’s enhanced OTC derivatives reporting regime officially closed on 29 March 2026. As of today, all...

SFC Senior Management Liability: Are You Protected or Exposed? 👨‍💼 SFC Senior Management Liability: Are You Protected or Exposed? 👨‍💼 Over recent years we have observed that the SFC has intensified its focus on personal liability within Licensed Corporations. This shift,...

The SFC’s Guidelines on Market Soundings Summary of the SFC’s Guidelines on Market Soundings On 2nd May 2025, the Securities and Futures Commission (SFC) released its Guidelines on Market Soundings alongside associated Frequently Asked Questions (FAQs)m following the publication of...

SFC 2024 Asset Wealth Management Activities Survey 🔔 A dynamic market: Hong Kong’s Asset & Wealth Management Sector on the Rise 🔔 On Wednesday 16th July 2025, the Securities and Futures Commission (“SFC”) released its yearly survey of Asset and...

Best Practices on Source of Wealth (SoW) Due Diligence in Singapore 🔔 Summary of MAS’ Best Practices on Source of Wealth Due Diligence 🔔 The Monetary Authority of Singapore (MAS) has recently released a paper in May 2025 which sets...

MAS Regulatory Round-up 2024 📢 Summary of MAS’ Key Regulatory Updates in 2024 📢 In 2024, the Monetary Authority of Singapore (“MAS”) continued to strengthen Singapore’s status as a regional and international financial hub through the introduction of key regulatory...

SFC Regulatory Round-up 2024 📢 Summary of SFC’s Key Regulatory Updates in 2024 📢 In 2024, the Securities and Futures Commission (“SFC”) released its Strategic Priorities for 2024 – 2026, focusing on ensuring market resilience, enhancing Hong Kong’s competitiveness, driving...