Hedge Fund Compliance Blog

02/05/2022

The HK Securities and Futures Commission has announced in Aug 2021 the introduction of HK Investor ID Regime (to be implemented in H2 2022) and also the OTC Securities Transaction Regime (to be implemented in 2023). Now we've seen a lot of broker/dealers have circulated related client notice of assigning investor ID and obtaining client consent relating to the upcoming launch of HK Investor ID Regime.

These two regimes, with the intention of serving regulatory purpose for easier market surveillance, will set HK securities market a big milestone in tracking capital flow and combatting dodgy transactions behind the scene. More insights is shared here:

Join Hedge Fund Compliance Blog on Patreon to get access to this post and more benefits.

09/01/2022

Can short sellers participate in share placing activities in the US market? Read my new post here in Patreon:

Join Hedge Fund Compliance Blog on Patreon to get access to this post and more benefits.

29/12/2021

China A share market is definitely attracting more and more offshore attentions. Embedded with its specific local culture, the securities markets in China is evolving rapidly in terms of allowable business activities as well as the regulatory and compliance landscape. QFII scheme is a critical channel for offshore capital to participate in China A share market. In this market, there are specific foreign capital controls and also a substantial shareholder disclosing requirements, just as the other major markets do. As our first post on China A share market, it will briefly introduce some basic market features and regulatory concepts for A share market participation.

Join Hedge Fund Compliance Blog on Patreon to get access to this post and more benefits.

19/06/2021

The investment public always refer to Form 13F filings made by famous fund houses (e.g. Hillhouse, Bridgewater, or maybe Archegos) for any portfolio changes or strategy adjustments. Well what the public may not know, is that the filing may just be shown in a way designed to be shown - there might be ways to structure the holdings in the way how Form 13F is legally required to be filed, not to say the huge time lag when the quarter end positions are finally shown to the public 45 days later.

So here we will explain to you some fundamentals surrounding Form 13F filing under the Exchange Act and show you some tiny tricky points that you may not even notice when prepare/interprete Form 13F filings. Please refer to more details on Patreon: https://www.patreon.com/posts/52686295

e.g. sohu news: https://www.sohu.com/a/467118796_120311162

19/06/2021

Finally I've started this sharing blog. I plan it more for technical training and insights sharing blog about legal and compliance updates in the alternative asset management industry, especially hedge fund operations.

Compliance is playing more and more a critical role in the hedge fund operations, from fund raising to operations, to portfolio risk management, to ESG and to investment structure design. There's actually great deal of challenges for the compliance practitioners, in terms of professional trainings compared to those in law firm, the relative small scale of operations, the boundless scope of work and new business ideas, and the fast changing reg updates. Everybody expects Compliance to know everything, to remind them ahead or tidy up thereafter. So I think it may be a good idea to start this blog for some fundamental trainings that I'd like to share with my compliance buddies.

To support this, you can subscribe the weekly updates via Patreon: https://www.patreon.com/hedgefundcomplianceblog

Hope you like it and also welcome for any areas/questions of interest to you!

Become a patron of Hedge Fund Compliance Blog today: Get access to exclusive content and experiences on the world’s largest membership platform for artists and creators.