Tag Archives: inspections

Hong Kong regulators warn of common instances of non-compliance in asset management

The Hong Kong Securities and Futures Commission (SFC) has recently conducted around 250 inspections of licensed corporations engaged in asset management business, and has identified a number of common instances of regulatory non-compliance among them, which it has set out … Continue reading

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Filed under Announcements, Asset management, Hong Kong

Dealing with a dawn raid in Hong Kong

Surprise inspections by governmental authorities are on the rise. Any company in any sector may be on the receiving end and obstructing a lawful raid is a criminal offence. Therefore, it is essential to be prepared. Front line staff such … Continue reading

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Filed under Hong Kong, Investigations