AIMA Regulatory Deep Dive Programme - Hong Kong

Hong Kong

Registration is closed, should you have any inquries please email here


AIMA are hosting a programme of country-specific regulatory review sessions that cover the changes in the relevant country’s regulation and enforcement in the trailing six months and any pending or future country- specific developments that are anticipated in the next six months.

Each session will cover topics selected with respect to that country which may range from traditional asset management, markets and tax issues, to specialist areas such as responsible investment, operational resilience and cyber, data privacy, market abuse, fraud and corrupt practices, competition, regulatory enforcement and supervision issues, shareholder rights, corporate governance, AML/KYC/CTF and beneficial ownership, as applicable.

The objective of the sessions will be to present developments from the chosen country to an audience from outside the relevant country requirements, guidance, enforcement that affects solely asset managers that are established in that country. The sessions will be of interest to manager members who would be interested in that country because they:

  • Manage or sub-manage funds established in that country;
  • Market funds or portfolio management services in that country; or
  • Invest in issuers established in that country or traded in that country.

In this session Charlotte Robins and Matt Bower from Allen & Overy will cover key regulatory and enforcement developments that asset managers should be aware of when investing in or accessing Hong Kong. Topics will include:

  • Introduction to the Hong Kong asset management industry
  • The Hong Kong Securities & Futures Commission (SFC)
    • who and what they regulate
    • internal structures within the SFC
    • SFC priorities – asset management
  • Approach to supervision and enforcement
  • Key developments to keep in mind when accessing or investing in Hong Kong:
    • disclosure of interest
    • short-selling
    • areas of focus when dealing with onshore managers
    • data protection – principles and reform
    • senior manager responsibility
    • self-reporting
Final AIMA Regulatory Deep Dive Programme_Hong Kong.pdf


  • Charlotte Robins, Partner, Allen & Overy
  • Matt Bower, Partner, Allen & Overy


  • Jennifer Wood, Managing Director, Global Head of Asset Management Regulation & Sound Practices, AIMA

Please note this session will be recorded.  The recording will be used for AIMA and may be shared on the AIMA members website.  For more detailed information, please refer to the privacy notice which can be found on

Please click here to view the other sessions of the progamme.

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