Hong Kong SFC: Manager-in-Charge Requirements
July deadline for Limited Corporations to submit info to SFC fast approaching
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.
AIFMD Passport: Non-EU Jurisdictions
Of relevance to: AIFMs and, non-EU fund managers As we know (see Regulatory Roundup 78) the AIFMD allows for the extension of the marketing passport to EU AIFMs of non-EU […]
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
AIFMD Comes Into Force
The long awaited Directive must now be transposed into national law by 22 July 2013
AIFMD & ESMA
ESMA publishes its consultation on implementing measures for the AIFMD