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Hong Kong SFC Launches 2 Months Consultation: Enhances Enforcement Against Regulated Person, Insider Trading & Advertising to Professional Investors

17th June 2022 | Hong Kong

The Hong Kong Securities & Futures Commission (SFC) has launched a 2 months consultation on the Securities & Futures Ordinance to enhance enforcement against regulated person, insider trading and advertising of investment products to professional investors.  HK SFC: “The amendments would broaden the scope of some SFO provisions to expand the basis for the SFC to apply for remedial and other orders against a regulated person under section 213. They would also enable the SFC to address insider dealing perpetrated in Hong Kong involving overseas-listed securities and insider dealing involving Hong Kong-listed securities perpetrated elsewhere.  Other amendments include clarifying an exemption in section 103(3)(k) of the SFO such that, unless authorised by the SFC, advertisements of investment products which are intended to be sold only to professional investors may only be issued to professional investors who have been identified in advance as such by an intermediary through its know-your-client and related procedures.”  Ashley Alder, HK SFC Chief Executive Officer: “Effective enforcement is essential to safeguard the integrity of Hong Kong’s financial markets. We review our enabling legislation from time to time to ensure that the SFC has the right regulatory tools to protect the interests of the investing public and uphold the quality of our markets.”  The public is invited to submit their comments to the SFC no later than 12 August 2022 via the SFC’s website (www.sfc.hk), by email (enfconsultation@sfc.hk), by post or by fax to 2293 4002.

“ Enhances Enforcement Against Regulated Person, Insider Trading & Advertising to Professional Investors “


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About Hong Kong SFC

Hong Kong, Asia’s leading financial centre

The Securities and Futures Commission (SFC) is an independent statutory body set up in 1989 to regulate Hong Kong’s securities and futures markets.  We derive our investigative, remedial and disciplinary powers from the Securities and Futures Ordinance (SFO) and subsidiary legislation. Operationally independent of the Government of the Hong Kong Special Administrative Region, we are funded mainly by transaction levies and licensing fees.

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