Hogan Lovells Publications

SEC proposes narrow broker-dealer registration exemption for finders Private Capital Insights

14 October 2020

The U.S. Securities and Exchange Commission (SEC) proposed a new exemptive order on Wednesday, October 7, which would exempt certain "finders" from broker-dealer registration under Section...

Hogan Lovells Publications

Principles matter: SEC amends disclosure rules for business, legal proceedings, and risk factors SEC Update

25 September 2020

On August 26 the SEC adopted far-reaching amendments to Regulation S-K items that govern disclosures on business, legal proceedings, and risk factors in filings under the Securities Act of...

Hogan Lovells Publications

Hong Kong and the cauldron of compliance Investigations, White Collar Crime, and Fraud Alert

04 July 2019

Hogan Lovells Publications

The SFC's enforcement priorities for 2018

March 2018

In late February, the SFC published its Enforcement Reporter setting out its enforcement priorities and approaches for 2018.

Hogan Lovells Publications

What's next for robo-advice? The SFC consults on the proposed guidelines on online distribution and advisory platforms

5 June 2017

With the rapid development of technology, there is an increasing trend of intermediaries providing investment services and distributing investment products over the internet.  Whilst...

Hogan Lovells Publications

China opens up the securities investment fund management industry: the first in a journey of ten thousand steps?

20 May 2017

On 30 June 2016, the industry self-regulating body, the Asset Management Association of China published what, on the face of it, appeared to be a fairly innocuous document entitled...