SFC_HK Compliance Hub

这可能是唯一讲香港私募基金合规实务的中文书

Resources | 2025-11-07 | 西環鹹魚

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Regulatory Lessons from UBS AG’s HK$8 Million Fine for Misclassification of Professional Investors

Enforcement Actions | 2025-10-30 | 西環鹹魚

Regulatory Lessons from UBS AG’s HK$8 Million Fine by the SFC for Misclassification of Professional InvestorsI. Case BackgroundT...
UBS AG因錯誤分類專業投資者遭證監會譴責及罰款800萬元的监管启示

Enforcement Actions | 2025-10-23 | 西環鹹魚

UBS AG因錯誤分類專業投資者遭證監會譴責及罰款800萬元的监管...
Applying for Hong Kong SFC Type 1, 4, and 9 Licenses Handbook

Resources | 2025-09-04 | 西環鹹魚

Hong Kong, as a global financial center, provides a well-established licensing regime through the Securities and Futures Commiss...
SFCCompliance: 滙豐因研究報告的披露缺失而遭證監會譴責並罰款420萬元

Enforcement Actions | 2025-09-02 | 西環鹹魚

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SFCCompliance 香港证监会1号、4号、9号牌照申请详细指引

Resources | 2025-09-02 | 西環鹹魚

香港证监会1号、4号、9号牌照申请详细说明香港作为国际金融中心，其证券及期货事务监察委员会（SFC）的牌照制度为金融机构进入亚洲市场提供了合法资质。1号牌照（证券交易）、4...
总结：SFC致持牌法團的通函- 檢視有關保障客戶資產的內部監控措施

Regulatory Updates | 2025-06-13 | 西環鹹魚

原文链接：致持牌法團的通函檢視有關保障客戶資產的內部監控措施 | 證券及期貨事務監察委員會附录一和附录二可从以上链接下载2025年...
Summarize SFC Circular: Review of internal controls on client asset protection

Regulatory Updates | 2025-06-13 | 西環鹹魚

Original webpage link Circular to licensed corporations Review of internal controls on client asset protection | Secu...
致持牌法团的通函-侦测及预防仿冒诈骗重点总结

Regulatory Updates | 2025-06-12 | 西環鹹魚

2025年5月...
SFC issues restriction notice to GA (Int'l) Capital Management Limited and conducts search operation

Enforcement Actions | 2025-06-12 | 西環鹹魚

Article Source: SFC issues restriction notice to GA (Int'l Capital Management Limited and conducts search operation |...