Insights

Hong Kong Regulatory Update - SFC Fines Fulbright for Short Selling (Dec 2020)

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Regulatory Update: SFC Updates FAQ's on Compliance with Suitability Obligations and Requirements for Complex Products (January 2021)

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Monthly Regulatory Newsletter - November 2020

Please find our November monthly regulatory newsletter here

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Hong Kong Regulatory Update - Virtual Asset Trading Platforms to be Regulated (Nov 2020)

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Singapore Update - Consultation Paper on Notice on Identity Verification (November 2020)

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Monthly Regulatory Newsletter - October 2020

Please find our October 2020 monthly regulatory newsletter here

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Hong Kong Regulatory Update - SFC fines Credit Suisse Securities $2.1 million over breaches of electronic trading requirements (Nov 2020)

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ComplianceAsia Regulatory Update – Licensed Representative Banned for 12 months for Personal Account Dealing Breaches (October 2020)

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ComplianceAsia Regulatory Update - Relaxation of Restrictions for QFII RQFII (October 2020)

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