深度分析
The Regulatory Framework for the Hong Kong Banking Sector
The Hong Kong banking regulatory system is a comprehensive multi-tiered and multi-dimensional framework designed to safeguard the soundness
INSIGHTS
Hong Kong financial regulation: topics and articles
Regulatory updates, enforcement actions, analysis, and markets and policy.
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市场与政策观察
Definition of asset management under SFO
The definition of asset management is provided in Part 2 of Schedule 5, the Securities and Futures Ordinance (Cap. 571) asset management ( 資產管理 )
执法案例
Regulatory Lessons from UBS AG’s HK$8 Million Fine for Misclassification of Professional Investors
Regulatory Lessons from UBS AG’s HK$8 Million Fine by the SFC for Misclassification of Professional Investors I. Case Background The Hong Kong Securities and Futures Commission (SFC) has publicly reprimanded and fined UBS AG (UBS) HK$8 mill
监管动态
China Securities Regulatory Commission Opens ETF Options Trading to QFIs
Translated by AI: I. Regulatory Policy Background On June 18, 2025, China Securities Regulatory Commission (CSRC) Chairman Wu Qing delivered a keynote speech at the 2025 Lujiazui Forum (Full speech:
深度分析
Comparison of Hong Kong OFC and Cayman SPC
Note: The following focuses mainly on a comparison between the umbrella-type Hong Kong Private OFC (Open-ended Fund Company) and the Cayman SPC (Segregated Portfolio Company)
Resources
Applying for Hong Kong SFC Type 1, 4, and 9 Licenses Handbook
Hong Kong, as a global financial center, provides a well-established licensing regime through the Securities and Futures Commission (SFC)
监管动态
New position limits for key exchange-traded derivatives to take effect
June 27, 2025 With effect from 2 July 2025 , the position limits for the futures and options contracts of Hang Seng Index, Hang Seng China Enterprises Index and Hang Seng TECH Index will be increased by 50%, 108% and 43% respectively. The p
监管动态
Summarize SFC Circular: Review of internal controls on client asset protection
Original webpage link Circular to licensed corporations Review of internal controls on client asset protection | Securities & Futures Commission of Hong Kong
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执法案例
SFC issues restriction notice to GA (Int'l) Capital Management Limited and conducts search operation
Article Source: SFC issues restriction notice to GA (Int'l) Capital Management Limited and conducts search operation | Securities & Futures Commission of Hong Kong
市场与政策观察
Summary for SFC Circular July 3, 2024 for FRR rules
On July 3, 2024, SFC issued a circular to licensed corporations -
深度分析
note: review points for ISDA schedule and CSA -20250902 updated
I. 2002 ISDA Master Agreement Section Titles 一、 《
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