Banking and Finance

22Sep2017

First Hong Kong criminal conviction for actively marketing unlicensed regulated activities carried out overseas

Case background On 21 September 2017, the Securities and Futures Commission (“SFC”) issued a press release about its conviction against ETRADE Securities (Hong Kong) Limited (“ETrade HK”) for actively marketing to the Hong Kong public US brokerage services provided by E*TRADE Securities LLC (“ETrade US”)….Read More

24Mar2016

Q&A with Eddie Look – Corporate and Commercial Partner

Eddie Look joined Tanner De Witt in 2002 and was made Partner of the Corporate and Commercial practice in 2009. He qualified in British Columbia Canada in 1998 before qualifying in Hong Kong in 2001. This week we had a chance to chat with Eddie…Read More

11Sep2015

Beware! Is your investment product a regulated “Collective Investment Scheme”?

The Securities and Futures Commission (“SFC”) in Hong Kong regulate investments in Hong Kong, and in doing so need to keep pace with the wide variety of ways in which new investment products can be structured.  One area of regulation covers financial products which constitute…Read More