• Home
  • News
  • Managing the impact of the novel coronavirus outbreak – a brief guide for SFC-licensed businesses 管控新型冠状病毒爆发的影响 — 持牌法团简明指南

28 Feb 2020

Managing the impact of the novel coronavirus outbreak – a brief guide for SFC-licensed businesses 管控新型冠状病毒爆发的影响 — 持牌法团简明指南

Linkedin

The Securities and Futures Commission (the “SFC”) have in previous years issued various guidance on the measures that licensed corporations (“LCs”) should implement to manage the effects of serious infectious disease outbreaks, such as SARS, influenza and now the novel coronavirus (“COVID-19”) outbreak.
证券及期货事务监察委员会("证监会")在前几年曾就持牌法团应采取的措施发出多项指引,以管控严重传染病爆发所产生的影响,例如SARS、流感,以及现时新型冠状病毒("新冠病毒")爆发。

More recently, the SFC released a circular on 5 February 2020 acknowledging that the COVID-19 outbreak may cause delays to “business as usual” operations for the SFC, LCs and applicants. The SFC notes that there may be delays in response times in some areas such as licensing applications, product applications and the public complaints and enquiry service.
最近,证监会于2020年2月5日发出新闻稿,承认新冠病毒疫情可能导致证监会、持牌法团及申请人"正常业务运作"的延误。证监会指出,在处理某些范畴的工作,如牌照申请、产品申请及公众投诉及查询服务方面,回应时间可能会延迟。

Generally, the SFC expects LCs to implement an effective business continuity plan (“BCP”) appropriate to their scale of business to limit the impact of these extraordinary events on their business, operations and clients. LCs are also expected to make reasonable efforts to maintain “business as usual” in relation to their regulatory obligations such as those regarding notifications, filings, reporting and other deadlines. If LCs expect to encounter specific difficulties or delays, they are expected to communicate promptly with their usual contacts at the SFC.
一般来说,证监会期望持牌法团实施适合其业务规模的有效的业务延续计划,以限制这些非常事件对其业务、运营和客户的影响。持牌法团还应尽一切合理努力,確保在履行监管责任,诸如通知、提交资料,作出汇报和遵守其他期限方面,能维持“正常业务运作”。如果持牌法团预计将(因新冠病毒疫情)遇到特定困难或延误,应立即联系他们在证监会的惯常联络人。

Click here to read more.

点击此处阅读更多详情 

    Linkedin

    KEY CONTACT

    Katherine Liu

    Katherine Liu
    Partner

    T:  +852 2533 2717 M:  +852 6193 5227 Email Katherine | Vcard Office:  Hong Kong

    Mark Reed

    Mark Reed
    Partner

    T:  +852 2533 2888 M:  +852 9353 1359 Email Mark | Vcard Office:  Hong Kong

    Conrad Lam

    Conrad Lam
    Associate

    T:  +852 3166 6946 M:  Email Conrad | Vcard Office:  Hong Kong

    • Related Locations