to those who hold relevant licenses (Type 7 or VASP) from the Hong Kong Securities and Futures Commission (SFC); Priority is given...
Securities and Futures Commission of Hong Kong and the Hong Kong Monetary Authority, including managing regulatory inquiries...
) Understand and maintain a strong working knowledge of China securities, futures and FX regulatory frameworks relevant to foreign..., onshore futures, listed derivatives, Commodities and OTC products). This is a senior leadership role, based in Hong Kong...
and conditions imposed by regulatory bodies such as the Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission... regulated activities specified under the Securities and Futures Ordinance (SFO), specifically Type 1 (Dealing in Securities...
and underwriters. Liaise with regulators such as the Hong Kong Stock Exchange (HKEX) and the Securities and Futures Commission (SFC...
and Futures Commission (SFC), or Customs and Excise Department (C&ED) (depending on licensing scope). You will serve as the... Ordinance (AMLO), and other applicable regulatory requirements issued by the Hong Kong Monetary Authority (HKMA), Securities...
such as the Hong Kong Stock Exchange (HKEX) and the Securities and Futures Commission (SFC). Provide legal advice on compliance...
Job Responsibilities * Serve as the Responsible Officer (RO) for Hong Kong Securities and Futures Commission (SFC...
Notes; Holder of Securities and Futures Commission (SFC) Type 1 and 4 license; Self‑motivated with strong communication...
to conduct type 4 and 9 regulated activities by the Securities & Futures Commission ("SFC") in Hong Kong. The Company leverages... About Our Client A well established Asset Management Arm of a Chinese securities house in Hong Kong, they are specialising in serving...
in SFC type licencing matters, ensuring timely applications, renewals, and ongoing compliance with Securities and Futures... Commission (SFC) regulations. Your new role Develop, implement, and monitor compliance policies and procedures across the...
and out-sourced trading for APAC markets · Compliance experience related to Securities & Futures Commission (SFC) regulated...
of a leading mainland fund house and holds Type 1, Type 4, and Type 9 licences issued by the Hong Kong Securities and Futures... Commission. It provides investment management services across equities, fixed income, private funds, and multi-asset strategies...
as the key liaison with regulatory bodies such as the Securities and Futures Commission (SFC), enhancing the compliance...
such as the Hong Kong Stock Exchange (HKEX) and the Securities and Futures Commission (SFC). Provide legal advice on compliance...
such as the Hong Kong Stock Exchange (HKEX) and the Securities and Futures Commission (SFC). Provide legal advice on compliance...
such as the Hong Kong Stock Exchange (HKEX) and the Securities and Futures Commission (SFC). Provide legal advice on compliance...
such as the Hong Kong Stock Exchange (HKEX) and the Securities and Futures Commission (SFC). Provide legal advice on compliance...
) and Securities and Futures Commission (SFC). Execute the financial statement close process, including conducting analytical reviews...