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Publications

2018-08
Supervising clients’ investments – Can “high-level supervisory role” of trustees be limited?
2018-07
SFC fines CCB International Capital for failing to perform due diligence as sponsor
2018-06
Failing to comply with due diligence and know-your-client requirements
2018-04
Highlights of the Guidelines on Online Distribution and Advisory Platforms and further consultation
2018-03
SFC’s response to initial coin offerings in Hong Kong
2018-01
No right to silence nor automatic privilege against self-incrimination during interview with the SFC
2017-12
Court endorsing SFC’s power to collect evidence to assist CSRC
2017-10
When You Have a Non-Human Investment Advisor…
2017-10
First Entity Convicted of the Offence of Actively Marketing in Hong Kong Regulated Activities Carried Out Outside Hong Kong Without a Licence
2017-09
Initial Coin Offerings – A Matter for the SFC?
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