An Overview of the Hong Kong and Singapore Regulatory Framework for Derivatives

Thursday, July 7, 2022
Online

Member US$275.00

Non-Member US$325.00

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This event will look at the Hong Kong and Singapore regulatory framework applicable to derivatives, including the licensing requirements and the rules governing clearing, margining and reporting of derivatives.

This course would be relevant to market participants looking to become familiar with the laws and regulations applicable to carrying on derivatives business as well as the regulatory aspects of trading in derivatives.

 

Registration for this event will close 2 hours before the live broadcast

 

This is an ISDA Virtual Conference:

  • Event will be live on July 07, 2022 from 2:30 PM – 5:50 PM HKT/SGT  |  Timezone Converter
  • Miss part of the event or aren’t able to watch live? The recording will be available to registrants until August 07, 2022

 

Educational Credits

CPT Credit Hours Available (SFC, Hong Kong)

Other accreditations are currently pending

 

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Thursday, July 7, 2022

Print Agenda An Overview of the Hong Kong and Singapore Regulatory Framework for Derivatives for

2:30 PM Welcoming Remarks Monica Chiu

Monica Chiu, Senior Counsel, Asia Pacific, ISDA

2:35 PM Singapore Regulatory Regime for Derivatives Covering Licensing, Clearing, Margining and Reporting Francis Mok, Mae Yen Teoh

  • Licensing requirements for derivatives
    • Definition of “derivatives contracts”
    • Distinguishing between derivatives and other regulated products, such as securities and deposits/structured deposits/dual currency investments
    • Licensing exemptions for dealing in derivatives contracts, including the exemption framework for foreign offices/related corporations
    • Licensing of commodity trading under the Commodity Trading Act
    • Licensing of exchanges/markets; distinguishing between dealing in derivatives and operating a market for derivatives
  • Key conduct of business requirements for derivatives
    • Client money/asset requirements
    • Confirmations/statements of account
    • Risk disclosure requirements
    • Risk mitigation requirements
Francis Mok, Partner, Allen & Gledhill
Mae Yen Teoh, Counsel, Clifford Chance

3:20 PM Break

3:25 PM Singapore Regulatory Regime for Derivatives (Continued) Francis Mok, Mae Yen Teoh

  • Mandatory reporting of OTC derivatives to the Trade Repository: scope, requirements and exceptions
  • Mandatory margining of OTC derivatives: scope, requirements and exceptions
  • Mandatory clearing of OTC derivatives: scope, requirements and exceptions
  • Mandatory trading of OTC derivatives: scope, requirements and exceptions
Francis Mok, Partner, Allen & Gledhill
Mae Yen Teoh, Counsel, Clifford Chance

4:10 PM Break

4:15 PM Hong Kong Regulatory Regime for Derivatives Covering Licensing, Clearing, Margining and Reporting Francis Edwards, I-Ping Soong

The speakers will cover the following topics with respect to OTC derivatives in the main asset classes, namely FX, IRS, equity, credit and will also consider new asset classes such as voluntary carbon credits and digital assets.

  • Definition of OTC derivatives product
  • Licensing and the consequences of carrying out regulated activity:
    • The existing regulated activities under the Securities and Futures Ordinance: dealing in securities, advising on securities, dealing in futures, and leveraged foreign exchange trading
    • Application to derivatives and exceptions.
    • The new regulated activities (not yet in force): Type 11 regulated activity (dealing in OTC derivative products) and Type 12 regulated activity (provision of clearing and settlement services)
    • Interaction between existing and new regulated activities
    • Price taker and other exceptions to Type 11
  • Other licences relevant to derivatives
  • Mandatory clearing of OTC derivatives: scope, requirements and exceptions
  • Mandatory margining of OTC derivatives: scope, requirements and exceptions
  • Mandatory reporting of OTC derivatives to the Hong Kong Trade Repository: scope, requirements and exceptions
Francis Edwards, Partner, Head of Derivatives and Structured Finance, Greater China, Clifford Chance
I-Ping Soong, Partner, Capital Markets, Linklaters

5:00 PM Break

5:05 PM Hong Kong Regulatory Regime for Derivatives (Continued) Francis Edwards, I-Ping Soong

Francis Edwards, Partner, Head of Derivatives and Structured Finance, Greater China, Clifford Chance
I-Ping Soong, Partner, Capital Markets, Linklaters

5:50 PM Conference Concludes

Agenda is subject to change.

Register Now for An Overview of the Hong Kong and Singapore Regulatory Framework for Derivatives
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Monica Chiu

Senior Counsel, Asia Pacific

ISDA

ISDAConferences

Francis Edwards

Partner, Head of Derivatives and Structured Finance, Greater China

Clifford Chance

Clifford_Chance

Francis Mok

Partner

Allen & Gledhill

I-Ping Soong

Partner, Capital Markets

Linklaters

Mae Yen Teoh

Counsel

Clifford Chance

clifford_chance

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Registration fee is for one person to attend the entire event. Pass may not be split between multiple attendees.
Groups of three or more attendees from the same firm can receive a 20% discount on event registrations. To register your group, please email conferences@isda.org

Member US$275.00

Non-Member US$325.00

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Intermediate

The course level is intermediate. Some knowledge of derivatives documentation is assumed. No advance preparation is required.
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