Regulatory Ramblings: Episode 73 - Geopolitical Risk: Thai Tensions / Sanctions, Tariffs & FCPA Enforcement in Asia
Regulatory Ramblings: Episode 71 – Crypto Fault Lines: Stablecoins, Meme Coins & the Fight for Clarity PLUS: Sanctions, Shell Companies & Fragmented Global Trade
Regulatory Ramblings: Episode 70 – Lessons for Compliance from a Law Enforcement Career + Regional Geopolitical Risks in 2025 with Mark Nuttall and Steve Vickers
Kidon IP War Stories David Cohen & Doug Clark
Nota Bene Episode 91: China Q3 Check In - Trade Wars, GDP Growth, Pandemic Comparatives, and Hong Kong with Michael Zhang
Daily Compliance News: May 25, 2020-the Memorial Day edition
A Conversation with Lindsay Chu on Asia Restructurings
A Conversation with Rajiv Gupta on Asia Restructurings
A Conversation with David Heller on Asia Restructurings
Hong Kong’s status as an open jurisdiction offers hedge fund managers unparalleled flexibility to choose the domicile of their fund structure, free from restrictive local mandates. This allows managers to align their fund’s...more
Key Points - - Under Hong Kong’s liberal regulations, several dozen asset managers have been licensed to manage virtual asset funds. - A number of index funds, tied to individual cryptocurrencies and baskets, have also...more
A recent circular issued by the Hong Kong Securities and Futures Commission (SFC) has created a pathway to listing closed-ended alternative asset funds in Hong Kong, generating interest among both local private market...more
Key Points - The Fund Manager Code of Conduct will be amended to require fund managers managing collective investment schemes to take climate-related risks into consideration in their investment and risk management...more
Hong Kong’s private funds industry is on the verge of benefitting from further significant changes in local laws designed to make Hong Kong more attractive as a centre for private funds and their managers. On 31 August 2020,...more
The Japanese Financial Services Agency released a new regulation allowing foreign fund managers and securities brokers to transfer their operations to Japan temporarily and without registration in certain emergency...more
Hong Kong has a strong reputation as a global and regional hub for the asset management and funds industry and is clearly looking to maintain and improve its competitiveness in this sector. In the recent 2020-2021 Budget, and...more
The COVID-19 pandemic has caused significant disruptions to numerous industries and sectors on a worldwide scale in an unprecedented manner. The asset management industry, like so many other business sectors, has proven far...more
In recent years, the Hong Kong Securities and Futures Commission (SFC) has increasingly focused on private equity funds’ obligation to be licensed under the Securities and Futures Ordinance (SFO). In February 2019, the SFC’s...more
This BitBlog summary focuses on the continuing actions by the U.S. Securities and Exchange Commission (“SEC”) against the issuers of noncompliant initial coin offerings (“ICOs”) and other crypto related transactions including...more
• The revised UT Code came into effect on 1 January 2019, with a 12-month transition period for compliance by funds currently registered with the SFC. • Revised regulatory standards will impact all SFC-authorised funds and...more
• The SFC has identified nine common areas of non-compliance in managing funds and discretionary accounts. • The SFC urged licensed corporations to review their existing internal control procedures and operational...more
ESMA Says “No for Now” to Granting Passport Rights to US Fund Managers Under AIFMD: The European Securities and Markets Authority told the European Commission last week that it was premature to grant passport rights to...more
The SEC filed one new action this week – an administrative proceeding involving the principal of an investment adviser and undisclosed conflicts of interest. The Commission also amended a complaint in an insider trading...more