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

Wednesday, January 31 to Friday, March 1, 2024
Online

Registration fee

  •  
  • Member
  • Non-Member
  • Early
  • US$275.00
  • US$325.00
  • Regular
  • US$350.00
  • US$400.00

This is a pre-recorded Virtual Conference

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Recording available until March 1, 2024

This is an ISDA Virtual Conference:

  • This is a recording of the An Overview of the Hong Kong and Singapore Regulatory Framework for Derivatives virtual conference which took place on January 31, 2024
  • Registrants will have access to the recording until 5:00 PM HKT/SGT on March 1, 2024.
  • After submitting your registration, you will receive a confirmation email with a link to view the documents and recording

 

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Wednesday, January 31, 2024

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

9:00 AM Welcoming Remarks Sonal Pattnayak

Sonal Pattnayak, Counsel, Asia Pacific, ISDA

9:05 PM Singapore Regulatory Regime for Derivatives Covering Licensing, Clearing, Margining and Reporting Francis Mok

  • 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 LLP

9:50 AM Break

9:55 AM Singapore Regulatory Regime for Derivatives (Continued) Catherine Neo

  • 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
Catherine Neo, Partner, Allen & Gledhill LLP

10:40 AM Break

10:45 AM 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

11:30 AM Break

11:35 AM Hong Kong Regulatory Regime for Derivatives (Continued)

12:20 PM Conference Concludes

Register Now for An Overview of the Hong Kong and Singapore Regulatory Framework for Derivatives
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Francis Edwards

Partner, Head of Derivatives and Structured Finance, Greater China

Clifford Chance

Clifford_Chance

Francis Mok

Partner

Allen & Gledhill LLP

Catherine Neo

Partner

Allen & Gledhill LLP

Sonal Pattnayak

Counsel, Asia Pacific

ISDA

ISDAConferences

I-Ping Soong

Partner, Capital Markets

Linklaters

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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$350.00

Non-Member US$400.00

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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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