licensed corporations | Adrian Li & Co., Solicitors

SFC’s review of online brokerage, distribution and advisory services

(4 min. read) SFC’s review of online brokerage, distribution and advisory services Introduction On 31 August 2022, the Securities and Futures Commission (the “SFC“) published a circular summarising their key observations from a review of the business models of 50...

29 September 2022

Adrian Li & Co Insights

Consultation on proposed amendments to enforcement-related provisions of the Securities and Futures Ordinance

(5 min. read) Consultation on proposed amendments to enforcement-related provisions of the Securities and Futures Ordinance Introduction For the first time in 20 years, the Securities and Futures Commission (the “SFC”) has proposed important changes to certain enforcement-related provisions of...

21 June 2022

Adrian Li & Co Insights

SFC’s Circular to Licensed Corporations on Handling of Client Complaints

(4 min. read) SFC’s Circular to Licensed Corporations on Handling of Client Complaints Introduction In the past few years, the Securities and Futures Commission (the “SFC”) received around four to six thousand client complaints each year against various licensed corporations...

20 April 2022

Tag: licensed corporations

SFC’s review of online brokerage, distribution and advisory services

Consultation on proposed amendments to enforcement-related provisions of the Securities and Futures Ordinance

SFC’s Circular to Licensed Corporations on Handling of Client Complaints

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Tag: licensed corporations

SFC’s review of online brokerage, distribution and advisory services￼

Consultation on proposed amendments to enforcement-related provisions of the Securities and Futures Ordinance

SFC’s Circular to Licensed Corporations on Handling of Client Complaints

Legal Services

Firm

Contact Us

Newsletter

SFC’s review of online brokerage, distribution and advisory services