概要

This eSeminar is a recorded session of the "Navigating the New Market Soundings Regulatory Landscape in Hong Kong" webinar held on 4 March 2025.

Mr. Eugène Goyne and Mr. Rui Da Silva from EY delve into the Securities and Futures Commission’s newly gazetted Guidelines for Market Soundings, which came into effect in November 2024. They cover the revised requirements, the implications for both sell-side and buy-side firms, and practical advice on compliance strategies. Key topics include scope of application, implementation challenges, and industry best practices.

宗旨

By completing the course, participants will be able to:
- Summarise the key points of the SFC’s Consultation Conclusions
- Understand the scope of application and key changes
- Explain the core principles of market soundings and their importance
- Identify the specific requirements for buy-side and sell-side
- Recognise areas of uncertainty and potential challenges
- Outline the implementation timeline and the next steps for compliance

內容

The key topics covered include:
• Overview of the SFC's Consultation Conclusions
• Scope of application: what has changed?
• Core principles of market soundings
• Specific requirements for Disclosing Persons and Recipient Persons
• Remaining areas of uncertainty
• Implementation timeline and next steps

對象

Senior management including MICs, ROs, Directors, Compliance Officers, Surveillance Officers and licensed individuals in the business/front-office involved in conducting market soundings from LCs or RIs (on both the buy-side and sell-side).