INSIGHTS AND NEWS
Governance Regulation
June 13, 2025
- SFC proposes to further restrict use of misleading names to enhance investor protection
- Circular to licensed corporationsCircular to licensed corporations Review of internal controls on client asset protectionCircular to licensed corporations
SFC proposes to further restrict use of misleading names to enhance investor protection
13 June 2025
The Securities and Futures Commission (SFC) of Hong Kong has proposed amendments to the Securities and Futures Ordinance (SFO) and the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO) to restrict the use of certain titles that could mislead investors into believing a business is...
Circular to licensed corporationsCircular to licensed corporations Review of internal controls on client asset protectionCircular to licensed corporations
09 June 2025
On June 6, 2025, the Securities and Futures Commission (SFC) issued a circular to licensed corporations (LCs) emphasizing the importance of client asset protection and outlining red flags and control deficiencies identified in recent asset misappropriation cases. The SFC’s review, which involved...
The Stock Exchange of Hong Kong has censured New Century Healthcare Holding Co. Limited and six of its...
The Insurance Authority (IA) has banned insurance intermediaries Leung Wai Mei and Ip Ka Ying for 12...
On June 9, 2025, the Securities and Futures Commission (SFC) hosted a successful broker forum titled...
SFC issues restriction notice to GA (Int'l) Capital Management Limited and conducts search operation
The Securities and Futures Commission (SFC) has issued a restriction notice to GA (Int’l) Capital...
Former bank manager Lam Chun-yin faces bribery charges, including accepting cryptocurrency worth over...
Week 1
- Sun 1
- Mon 2
- Tue 3
- Wed 4
- Thu 5
- Fri 6
- Sat 7
- Sun 8
- Mon 9
- Tue 10
- Wed 11
- Thu 12
- Fri 13
- Sat 14
- Sun 15
- Mon 16
- Tue 17
- Wed 18
- Thu 19
- Fri 20
- Sat 21
- Sun 22
- Mon 23
- Tue 24
- Wed 25
- Thu 26
- Fri 27
- Sat 28
- Sun 29
- Mon 30
- Tue 1
- Wed 2
- Thu 3
- Fri 4
- Sat 5
-
No Events
-
No Events
-
No Events
-
No Events
-
No Events
Empowering Legacies, Enriching Futures: Transforming Compliance with Purpose and Precision
Harnessing the Power of Data Analytics in Compliance: Driving Efficiency and Effectiveness
Harnessing the Power of Data Analytics in Compliance: Driving Efficiency and Effectiveness
24 June 2024
In today’s complex business environment, organizations face a myriad of regulatory requirements and compliance challenges. Navigating the compliance maze can be a daunting task, but with the right strategies in place, organizations can unlock efficiency and effectiveness while ensuring adherence to relevant laws and re In the ever-evolving landscape of compliance, data analytics has emerged as a transformative...
Read More Navigating the Compliance Maze: Unlocking Efficiency and Effectiveness through Holistic Strategies
Navigating the Compliance Maze: Unlocking Efficiency and Effectiveness through Holistic Strategies
24 June 2024
In today’s complex business environment, organizations face a myriad of regulatory requirements and compliance challenges. Navigating the compliance maze can be a daunting task, but with the right strategies in place, organizations can unlock efficiency and effectiveness while ensuring adherence to relevant laws and regulations. One such approach is the adoption of holistic strategies that encompass...
Read More Quantifying social value impacts with measurement metrics
Quantifying social value impacts with measurement metrics
14 February 2024
By Gitanjali Pies Businesses and organizations are increasingly recognizing the impacts of financial success on society and the environment. Measuring social value has emerged as a crucial tool for understanding and evaluating the positive or negative outcomes of their...
Read More The Values in Compliance
The Values in Compliance
14 February 2024
By Christy Xia For organizations navigating through a volatile market, predictable and stable trust throughout the operation is essential. Part of organizational activity that can help build trust in conducting business and drive operational efficiency is compliance....
Read More Tim Mohin: ESG ON FIRE
Tim Mohin: ESG ON FIRE
19 January 2024
The term “responsible business” is being replaced by “ESG” as it becomes politicized and legal threats for greenwashing rise. However, companies are still making progress on their sustainability programs. The “anti-woke” backlash in the US and new regulations like the SEC’s Names Rule have led to a shake-out of unsubstantiated ESG claims in financial markets....
Read More 
Cyber threats continue to dominate headlines and boardroom...
In today’s rapidly evolving global business environment,...
Compliance Risks Are Increasing – Is Your GRC Strategy...
