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...

A Complete Guide to Obtaining a TCSP License in Hong Kong Hong Kong is an important financial hub, attracting enterprises eager to capitalise on its dynamic market and robust regulatory framework. With a transparent financial system and emphasis on investor...

2023 – 2024 SFC Annual Report Highlights On Thursday 20th June 2024, the Securities and Futures Commission (“SFC”) marked its 35th anniversary with the release of its Annual Report for 2023-2024. The Report sets out market statistics, details relating to...

香港证券及期货事务监察委员会 (SFC) 牌照申请指引 香港作为一个重要的金融中心，拥有一个活跃的市场和健全的监管框架，因此吸引了不少企业。企业可以透过在香港设立受监管实体，而打入亚洲金融活动的核心市场，而且还能享受香港以高透明度和投资者保护而闻名的体系。香港的金融业主要受证券及期货事务监察委员会 (SFC)、香港金融管理局、保险业监管局和强制性公积金计划管理局的监管。 本指南介绍了在香港设立受监管实体时需要的牌照和要求。 其中一些重点内容包括: 需要向证监会申请牌照的活动类型 申请证监会牌照的流程、时间表、需满足的要求以及申牌公司需考虑的因素 PDF格式:在香港设立一个受证监会规管的实体   – The comments raised within this article do not form a legal opinion nor should they be construed as being legal advice –

Setting up an SFC Regulated Entity in Hong Kong Hong Kong remains a pivotal financial hub, attracting enterprises eager to capitalise on its dynamic market and robust regulatory framework. Establishing a regulated entity in the city not only positions businesses...