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List of articles in category Publications
Stepping-Up Individual Accountability with the SFC’s New the Manager-in-Charge Regime
Credit Ratings and the SFC’s Disciplinary Jurisdiction: Revisiting the Moody’s Decision at the Court of Appeal
Price Sensitive Information and the Market Misconduct Tribunal: A Primer for Listed Companies and Their Directors
Credit Rating Services: Does the Decision of the Securities and Futures Appeals Tribunal Over-Reach?
OTC Derivatives: Proposed Hong Kong Reporting & Record Keeping Requirements
M&A Primer: Board Representation of Minority Investors in Hong Kong Companies
Securities Litigation: The Prosecution Of Securities Offences – From Investigation To Appeal
Private Equity: Hong Kong Considerations for Fund Formation and Operations
Professional Investors: A New Regime For Licensed And Registered Persons And Recent Caselaw
Investment Funds: Mandatory Disclosure of Ongoing Charges and Information on Past Performance for SFC Authorized Funds
Funds Authorised Under The UT Code
Investment Funds: Proposed New Flexibility for SFC Authorized Funds to Publish Dealing Prices and NAVs
NAV Consultation Update
Securities Litigation Alert: Internal Policies and Procedures May Set Regulatory Standards
Hong Kong: Developments In The Regulation Of Trading And Clearing Systems
Grey Market Dealings: Legality of Selling Placement Shares Before Completion of Placement
Selling Practices: Lessons for Regulated Firms from the SFC's Recent Inspections
Dawn Raids: What to Do When the SFC Appears at Your Premises with a Search Warrant
Crisis Management: Preventing And Handling A Regulatory Investigation
Market Manipulation: Safe Harbour For Wash Trades And Matched Orders Upheld
New Requirements For Disclosure Of Price Sensitive Information: A Guide For Hong Kong Listed Companies
Professional Investors: Hong Kong Relaxes Requirements - At Least For Now
Guide To Listing: A Summary Of Key Requirements In Hong Kong
Selling Of Investment Products: New Requirements In Hong Kong
Regulation Of Credit Rating Agencies
False Trading : Are Wash Trades and Matched Orders Now Illegal?
The Shanghai Pilot Programme: The Path to Foreign LPs in RMB Private Equity Funds
SFC Guidance On Requirements For Licensing Under The Law: Reliable Or Not
SFC Guidance On Requirements For Licensing Under The Law: Reliable Or Not
New Short Position Reporting: Analysis Of Hong Kong Proposals
New Tax Developments Affecting Management Fees: What Hong Kong Fund Managers Should Know
Relaxation Of Listing Requirements On The Stock Exchange Of Hong Kong: Exit Opportunities For Private Equity?
SFAT Casts Doubt On Legality Of Introduction Arrangements Between Hong Kong Brokers And Their Offshore Affiliates
The PCCW Privatization: A Guide To The Applicable Law For Schemes Of Arrangement
New Proposals To Regulate Mis-Selling Of Investment Funds & Structured Products In Hong Kong: Right Or Wrong?
Distressed Debt In Hong Kong: An Insolvency Primer For Private Equity
Managing The Risk Of Prime Broker Default: A Guide For Hedge Funds
Launching Innovative Retail Investment Funds In Hong Kong: Without SFC Authorization
Insider Dealing: A Primer For Hedge Fund And Private Equity Managers
Global Employment Standards For Global Financial Institutions In Hong Kong
Stock Exchange Of Hong Kong: Third Party Clearing At Last
Responding To SFC Enforcement Action: New Tactics?
Hong Kong: The Investment Fund Industry's Gateway To China
Non-Hong Kong Investment Funds: Relaxation Of SFC Authorization Practices
Take Private Transactions: Possible New Pitfalls For Private Equity
Challenging The SFC: What Every Compliance Officer Needs To Know
How To Start A Hedge Fund In Hong Kong: A Legal Primer
Take-Private Transactions: The Emergence Of A New Approach?