Hong Kong SFC: Manager-in-Charge Requirements
July deadline for Limited Corporations to submit info to SFC fast approaching
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FX Global Code
This new Code is relevant to all FX market participants, whether buy-side or sell-side, regardless of ‘product’, including E-Trading Platforms (page 4 provides a guide to the types of entities to which the Code will be relevant – ranging from the treasury operations of family offices to hedge funds and “financial institutions”).
Financial Year 2016: Submissions to the SFC
A reminder of the annual submissions due to the SFC by Friday 28 April 2017 for firms having their financial year ending December:
Mandatory Use of SFC Online Portal
Effective 1 February 2017, all Hong Kong SFC applications, notifications and annual returns filed by Licensed Representatives must be submitted by way of the SFC’s online portal.
Brexit and its Implications
The votes have been counted and ‘Brexit’ has won the day. The UK electorate has voted 52% to 48% to leave the European Union (EU). What are the implications to financial services?
Financial Year 2015: Submissions to the Hong Kong SFC
For Hong Kong Licensed Corporations with a fiscal year ending 31 December, there are certain annual submissions due to the SFC by Friday 29 April 2016
FAST Act Amendment to Disclosure Requirements
Amendment of the consumer privacy provisions revises the requirement for Financial Institutions to provide an annual privacy disclosure
Common Reporting Standards: FATCA
The International Tax Compliance Regulations 2015 (SI 2015/878) came into force in April this year placing new obligations on financial institutions