Back in November 2018, the Hong Kong Securities and Futures Commission asset portfolios managers, fund distributors and trading platform operators Licensing and supervisory regime for platform operators Provide trading, clear

On December 16, 2016, the Securities and Futures Commission of Hong Kong issued a circular to all licensed corporations in Hong Kong, which introduced measures to heighten the accountability of the senior management at licensed corporations and increase awareness of the obligations of senior management under the current regulatory regime (the Manager-in-Charge Regime). The Manager-In-Charge Regime impacts all SFC licensed corporations and their senior management in Hong Kong.

The Manager-In-Charge Regime impacts all SFC licensed corporations and their senior management in Hong Kong. Senior management outside of Hong Kong may also fall within the scope of the Manager-In-Charge Regime if, for example, a core function of a Hong Kong licensed corporation reports directly to a regional or global head situated in another country. 2019-10-25 SFC fully implements Manager-In-Charge regime. The Securities and Futures Commission (SFC) today announced the full implementation of the Manager-In-Charge (MIC) regime (Note 1) following a six-month transition period which ended on 16 October 2017.

Hk manager in charge regime

On 16 December 2016, the Hong Kong Securities and Futures Commission (SFC) introduced its new Manager-In-Charge of Core Functions (MIC) regime, with details set out in its Circular Regarding Measures for Augmenting the Accountability of Senior Management (Circular) and a related series of 40 Frequently Asked Questions (FAQs). SFC introduces new “Managers in Charge” regime to augment accountability of senior management of licensed corporations On 16 December 2016, the SFC issued a Circular and two Annexes (the “Circular”) aimed at augmenting the accountability of senior management of licensed corporations and introducing a new “Managers in Charge” regime The launch of the manager-in-charge ("MIC") regime in Hong Kong in two weeks has sparked concerns about whether other Asian jurisdictions will introduce similar rules. The MIC regime further demonstrates that senior management accountability ranks high on regulators' agenda. On 16 December 2016, the Securities and Futures Commission (SFC) announced the introduction of a Manager-in- Charge initiative (MIC Regime) aimed at increasing the accountability of the senior management of Hong Kong licensed corporations. 1 Red Flags in HK Managers in Charge Regime.

The licensing and registration of persons operating in Hong Kong's securities and futures markets and non-bank 8 Jun 2018 Regime), Hong Kong its MCR and MAI (Manager-in-Charge Regime and To this alphabet soup of accountability regimes will be added 29 Apr 2020 regime in place — The Manager-in-Charge Regime. Our article covering this topic addresses what the Hong Kong Securities and.

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The Securities and Futures Commission (SFC) today announced the full implementation of the Manager-In-Charge (MIC) regime (Note 1) following a six-month transition period which ended on 16 October 2017. During the transition period, about 10,000 individuals were appointed by licensed corporations as Hong Kong: Manager-In-Charge regime comes into force.

SFC introduces manager-in-charge regime to heighten senior management accountability 19 December 2016. On 16 December 2016, the Securities and Futures Commission (SFC) announced it was taking steps to enhance the senior management regime of licensed corporations. Under the Hong Kong regulatory regime, companies and individuals that intend to carry on regulated activities (“RA”) in Hong Kong are required to apply for the relevant type of RA licence from the Securities and Futures Commission (“SFC”). The SFC is the regulator empowered by the Securities and Futures Ordinance (“SFO”)to oversee such
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This training will be very helpful to anyone who wants to understand the compliance requirements, impact of the Manager-In-Charge Regime on SFC licensed corporations and the roles and duties as there are over 10,000 individuals have been appointed The Manager-in-Charge Regime: Ruffling feathers in the year of the Rooster? An Overview INTRODUCTION On 16 December 2016, the Securities and Futures Commission (SFC) announced the introduction of a Manager-in-Charge initiative (MIC Regime) aimed at increasing the accountability of the senior management of Hong Kong licensed corporations.1 The introduction of the MIC Regime follows … An in-depth presentation from the SFC on the Manager-In-Charge regime is available at this link.

By Karry Lai; managers (or “section 72B managers”) for the businessesand functions listed in the Fourteenth Schedule to the BO. It is however not a current practice to inform the HKMA of the businesses overseen by individual alternate chief executives (ACEs) or directors approved under section 711, while chief An in-depth presentation from the SFC on the Manager-In-Charge regime is available at this link. Now that the regime has been fully implemented, the Hong Kong Monetary Authority (HKMA) has also now requested that all registered institutions submit up-to-date management structure information and organisational charts to both the HKMA and the SFC from 16 March to 16 April 2018. Hong Kong's securities regulator plans to require financial firms, such as brokers and hedge funds, to disclose which of its managers are responsible for the day-to-day running of regulated On 16 October 2017, the Hong Kong Monetary Authority (“HKMA”) issued a Circular, a set of Frequently Asked Questions (“FAQs”) and an Appendix (together the “Guidance”) setting out its expectations in relation to management accountability at Registered Institutions (“RIs”) for conducting or supervising the conduct of businesses that constitute regulated activities (“RAs”). In Hong Kong, after concerted The SFC’s new “Managers-in-Charge” Regime: it’s getting tougher at the top 32 DUFF & PHELPS – GRO VIEWPOINT 2017.
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The Manager-In-Charge regime will apply to corporations licensed for RA13. It is important that the scope of each senior manager’s duties of the depositary is clear and that each senior manager is fully aware of his or her obligations under the Hong Kong's regulatory regime. HK MANAGER–IN–CHARGE REGIME.

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SFC introduces new “Managers in Charge” regime to augment accountability of senior management of licensed corporations On 16 December 2016, the SFC issued a Circular and two Annexes (the “Circular”) aimed at augmenting the accountability of senior management of licensed corporations and introducing a new “Managers in Charge” regime

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