Hong Kong: Compliance

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Business law and corporate law thought leadership, articles, podcasts, videos and webinars from expert sources across the legal world. Explore insights covering topics that involve business and corporate law produced by specialists working in this area every day.

Navigating Legal Minefields: Directors' Dilemmas In Relying On Legal Advice Given To His Company

In the ever-evolving business world, legal issues are an inevitable challenge that organizations must navigate to ensure compliance, mitigate risks, and safeguard their interests.

Hong Kong Commercial

OL

Oldham, Li & Nie

Representing Financial Institutions In Multi-jurisdictional Anti-money Laundering Investigations

Multi-jurisdictional investigations present numerous challenges and require careful management of the risks that arise. This chapter provides an overview of the issues that may occur throughout the duration...

Worldwide Criminal

KL

Herbert Smith Freehills Kramer LLP

Hong Kong FSTB And SFC Consult On Regulatory Regimes For Virtual Asset Dealers And Custodians

On June 27, 2025, the Hong Kong Financial Services and Treasury Bureau and the Securities and Futures Commission jointly published two consultation papers on legislative proposals regulating virtual assets...

Hong Kong Finance

DP

Davis Polk & Wardwell

Essential Corporate News – Week Ending 29 November 2024

The FRC's 2024 reports highlight evolving governance standards: increased adoption of pre-emption principles, improvements in Code compliance, and emphasis on risk management and stakeholder engagement. Meanwhile, the FCA fined an executive for MAR breaches, reinforcing regulatory expectations.

Hong Kong Commercial

NR

Norton Rose Fulbright Hong Kong

Navigating The SFC Circular Of 9 October 2024: Ensuring Compliance And Safeguarding Your Asset Management Business

Hong Kong Commercial

WL

Withers LLP

Hong Kong Proposes The Introduction Of A Legal Framework For Regulating Critical Infrastructures

Hong Kong Technology

MB

Mayer Brown

Increased Enforcement Actions Regarding Cayman Islands Economic Substance

C

Conyers

Hong Kong's Status As An International Financial Center Is Rock Solid

Hong Kong Commercial

MB

Mayer Brown

Crackdown On Unlicensed Insurance Selling In Hong Kong

Hong Kong Insurance

MB

Mayer Brown

New Frontiers In Cross-Border Disclosure Orders

Hong Kong Commercial

W

Walkers

Public Consultation On Proposed NDRC Rules Supporting Foreign Debt Issuance By High-Quality Enterprises

Hong Kong Finance

MB

Mayer Brown

The New SAMR Merger Compliance Guidelines

Worldwide Commercial

NR

Norton Rose Fulbright Hong Kong

Refined Hong Kong's Foreign-Source Income Exemption Regime And An Update On The "Tax Certainty Enhancement Scheme"

AM

Alvarez & Marsal

Hong Kong SFC Proposes New Guidelines For Market Soundings

Hong Kong Commercial

HS

Herbert Smith Freehills Kramer LLP

Considering The Use Of AI In Legal Investigations

Hong Kong Technology

RG

Ropes & Gray LLP

Second Agreement Concerning Amendment To CEPA Agreement On Trade In Services To Be Implemented On 1 March 2025

Hong Kong Media & IT

HS

Haldanes

Data Center Projects In Asia: Recent Trends, Key Risks, And Mitigation Strategies

Worldwide Real Estate

MB

Mayer Brown

SFC And HKMA Issue Circulars On Staking Services

Hong Kong Technology

H

Hauzen

Navigating Hong Kong's New Generative AI Guidelines: Key Considerations For Businesses

Hong Kong Technology

H

Hauzen

Arbitration—Set Aside Of Award—Multi-Tiered Arbitration Agreement (T v B)

An arbitration provision contained conditions precedent to the commencement of arbitration. These conditions were not met and arbitration was commenced in any event.

Hong Kong Litigation

SH

Stephenson Harwood

Updated Regulatory Approach For Intermediaries' Virtual Asset-related Activities

In their recent Joint Circular to intermediaries on 20 October 2023, the Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) set out their updated policy...

Hong Kong Commercial

MB

Mayer Brown

The New SAMR Merger Compliance Guidelines

On 11 September 2023, the State Administration for Market Regulation of China (the "SAMR") officially issued the Antimonopoly Compliance Guidelines for Concentrations of Undertakings...

Hong Kong Commercial

NR

Norton Rose Fulbright Hong Kong

PRC-Hong Kong MoU Signed: Will Cross-border Data Transfers Within The Greater Bay Area Be Easier Now？

The Cyberspace Administration of China (CAC) and the Hong Kong SAR Government's Innovation, Technology and Industry Bureau (ITIB) signed a memorandum of understanding (MoU) on 29 June 2023.

Hong Kong Commercial

MB

Mayer Brown

Hong Kong SFC Fines Asset Manager For Internal Control Failures

Hong Kong Finance

MB

Mayer Brown

Attention All Auditors – The Hong Kong AFRC And The SFC Join Forces To Fight Listed Groups Channelling Funds To Third Parties In Dubious Circumstances

Hong Kong Commercial

HS

Herbert Smith Freehills Kramer LLP

Hong Kong Stock Exchange Proposes Mandatory Disclosure Of Climate-related Risks In Listed Companies' ESG Reports From 1 January 2024

Hong Kong Finance

MB

Mayer Brown

Anti-Money Laundering Comparative Guide - Legal And Enforcement Framework

Hong Kong Government

MB

Mayer Brown

Hong Kong Passes Bill For Revised Foreign Source Income Exemption (FSIE) Regime

TS

The Sovereign Group

Human Rights And The Environment – What Asia-based Companies Need To Know About The EU Draft Corporate Sustainability Due Diligence Directive

Worldwide Commercial

MB

Mayer Brown

A Snapshot Of ESG Disclosure In Hong Kong

Hong Kong Commercial

WS

Winston & Strawn LLP

SFC reprimands responsible officer and manager-in-charge for AML/CFT management failures

Hong Kong Commercial

TL

Timothy Loh

Three Key Changes To Note Under The New Hkex Listing Regime For Overseas Issuers

Hong Kong Commercial

A

Appleby

COVID-19 Related Circulars Or Guidance (Non-Exhaustive) Published By Financial Services Regulators Of Hong Kong (Last Updated: 8 November 2021)

Hong Kong Finance

MB

Mayer Brown

Arbitration—Set Aside Of Award—Multi-Tiered Arbitration Agreement (T v B)

An arbitration provision contained conditions precedent to the commencement of arbitration. These conditions were not met and arbitration was commenced in any event.

Hong Kong Litigation

SH

Stephenson Harwood

SFC reprimands responsible officer and manager-in-charge for AML/CFT management failures

His reprimand and suspension underlines his responsibility to supervise regulated activities of a licensed corporation.

Hong Kong Commercial

TL

Timothy Loh

Three Key Changes To Note Under The New Hkex Listing Regime For Overseas Issuers

Following the implementation of the listing reforms that took effect in April 2018 by The Stock Exchange of Hong Kong Limited (HKEx) which, among others, establish a new concessionary secondary listing route...

Hong Kong Commercial

A

Appleby

COVID-19 Related Circulars Or Guidance (Non-Exhaustive) Published By Financial Services Regulators Of Hong Kong (Last Updated: 8 November 2021)

We have compiled the following chronology table which serves as a quick reference point to track the circulars and guidance published by HK financial services regulators in relation to COVID-19.

Hong Kong Finance

MB

Mayer Brown

Money Lenders: A Tighter Vetting Process

Hong Kong Finance

S

Slotine

Hong Kong Initial Public Offerings – An Issuer's Guide

For most companies and their owners, an initial public offering (IPO) is a "once-in-a-lifetime" event that represents the culmination of many years of hard work and personal investment...

Hong Kong Commercial

MB

Mayer Brown

Eligibility To Act As The Custodian Of A Private OFC

The Securities and Futures Commission ("SFC") recently published updated FAQs in respect of the requirements applicable to a Type 1 licensed corporation or registered institution ("Type 1 custodian")

Hong Kong Commercial

TL

Timothy Loh

Individual Liability For Contravention Of The Hong Kong's Competition Ordinance And Ten Recommendations For Avoiding It

It has been five years since Hong Kong Competition Ordinance (the "Ordinance") first came into effect.

Hong Kong Anti-trust

MB

Mayer Brown

Ten Major Anti-Monopoly Compliance Mechanisms Suggested By The Shanghai Municipal Administration For Market Regulation

In fact, most of the articles in the Shanghai Guidelines correspond to or supplement those in the SAMR Guidelines.

Hong Kong Anti-trust

MB

Mayer Brown

Market Misconduct Tribunal: A Guide To Penalties And Other Consequences For Misuse Of Insider Information

Hong Kong Commercial

TL

Timothy Loh

The Obligation To Self-Report Non-Compliance

Hong Kong Commercial

O

ONC Lawyers

Inside Information And The Market Misconduct Tribunal: A Guide To Defending SFC Enforcement Action

Hong Kong Commercial

TL

Timothy Loh

Latest Regulatory Action On Sponsor Failure

Hong Kong Commercial

O

ONC Lawyers

SFC Enforcement Risks For SFC Licensed Corporations: Trends From 2019-2020

Hong Kong Government

TL

Timothy Loh

Hong Kong's Insurance And Securities And Futures Regulators Sign Up To Memorandum Of Understanding

Hong Kong Insurance

MB

Mayer Brown

Requirements On The Electronic Storage Of Data: Recent SFC Circular

Hong Kong Commercial

MB

Mayer Brown

Exploring The Role Of A Responsible Officer

Hong Kong Commercial

G

Gall

Hong Kong To Adopt A Limited Partnership Regime For Funds

Hong Kong Finance

AG

Akin Gump Strauss Hauer & Feld LLP

Impact Of Coronavirus On The Listed Issuers In Hong Kong

Hong Kong Finance

WL

Withers LLP

Update On Manager-In-Charge Regime

Hong Kong Commercial

D

Dentons

Hong Kong SFC's New Electronic Data Requirements Place Mics And Cloud Services In The Spotlight

Hong Kong Commercial

HS

Herbert Smith Freehills Kramer LLP

Introduction Of Key Person In Intermediary Management Control Function

Hong Kong Insurance

CC

Clyde & Co

SFC Compliance Forum 2019: The SFC Outlines Its Key Supervisory Priorities For The Year Ahead

Hong Kong Commercial

HS

Herbert Smith Freehills Kramer LLP

Hong Kong Regulatory Update – April 2019

Hong Kong Finance

SA

Skadden, Arps, Slate, Meagher & Flom (UK) LLP

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Latest Videos

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Proposed Amendments To Secretarial Compliance Report, Appointment Of Auditors And RPTs (Video)

CP

Corporate Professionals

[Live] Regulatory Framework For Doing Business In Portugal & India: Opportunities & Challenges (Video)

HS

Hammurabi & Solomon

Anandita Basu | Mandatory Dematerialisation For Pvt Co.S (Video)

J

JSA

Legal Lockdown - Episode 9: Pivoting your business to navigate a crisis

HW

Holman Webb Lawyers

Working With Japanese Clients — Risk & Compliance (Video)

MB

Mayer Brown

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