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CP Insights

  • January 2021: SFC ESG Proposal Webinar Survey
  • December 2020: Hong Kong Finance Professionals Industry Survey 2020
  • December 2018 : CompliancePlus Industry Survey 2018
  • April 2018 : HK SFC Report on the Thematic Review of Licensed Corporations Engaged in Sponsor Business
  • March 2018 : HK SFC Enforcement Reporter – Watchlist for 2018
  • February 2018 : SFC Report on the Thematic Review of Best Execution – Redefine “Best” execution?
  • January 2018 : Latest Revision of the HK SFC Code of Conduct
  • December 2017 : Revision of HK SFC Fund Manager Code of Conduct – A New Wave of Regulatory Revolution in Hong Kong Asset Management Industry
  • November 2017 : Nine Deficiencies in Managing Funds and Discretionary Accounts
  • October 2017 : Bitcoin fund
  • September 2017 : Bitcoin – The Digital Currency and its Regulatory Issues
  • August 2017 : Is the Age Of Robo-Compliance-Advisors Arriving?
  • July 2017 : The New Third Board – Way to safeguard HK’s leading IPO position?
  • June 2017 : Financial Institutions (Resolution) Ordinance – Safeguarding the stability of our financial infrastructure
  • May 2017 : Anti-Money Laundering and Counter Terrorist Financing
  • April 2017 : SFC to Re-define Professional Investors Yet Again
  • March 2017 : Cybersecurity- How to Step into the Cloud and Avoid the Thunderstorms
  • February 2017 : Enhance Asset Management Regulation and Point-of-sale Transparency 
  • January 2017 : Manager-in-Charge
  • CP Insights
    • CompliancePlus Industry Survey 2018 Results Presentation
  • Resources
  • SFC Submissions
  • Other Submissions
  • Compliance articles

Latest Press Release

  • CompliancePlus presented awards to winners of Clinical Legal Education Book Prize 2019 in HKU
  • CompliancePlus celebrates 10-Year Anniversary
  • CompliancePlus sponsored Master Insight Financial and Economic Forum 2019
  • CompliancePlus partners with Oriel College, Oxford to promote cross border exchanges
  • CompliancePlus presented prizes to HKU law graduates

Latest Media Coverage

  • HKEJ article on the Management and Disclosure of Climate related Risks by Fund Managers
  • Bloomberg TV Live Interview: Hong Kong Sanctions Could Threaten Banks
  • AsianInvestor: Capital flight from Hong Kong “set to spike”
  • Reuters: How financial firms in Hong Kong may be affected by U.S. sanctions
  • SCMP: National security law: Hong Kong’s financial institutions gripped by anxiety over United States sanctions

Latest Regulatory News

  • Regulatory News (Mar 2021)
  • Regulatory News (Feb 2021)
  • Regulatory News (Jan 2021)
  • Regulatory News (Dec 2020)
  • Regulatory News (Nov 2020)

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