Hong Kong

AML / KYC

HK Regulator Flags Pitfalls in Digital Insurance Sales and Roadshows

By Editors | 06/10/2025

Insurance Authority highlights common shortcomings in insurers' digital sales systems and roadshow practices following inspections and a mystery shopping exercise.

Fintech / Regtech

Hong Kong Kicks Off Hackathon to Spur Data Sharing

By Editors | 03/10/2025

The HKMA and HKSTP have launched an event to foster bank-fintech collaboration on the new Interbank Account Data Sharing (IADS) framework.

Enforcement

SFC Suspends Ex-Broker RO for AML, Credit Risk Failures

By Editors | 03/10/2025

The SFC has disciplined a former responsible officer for failing to manage credit risks and report suspicious, highly profitable client trades.

ESG / Sustainability

HKMA Urges Banks to Support SME Green Transition

By Manesh Samtani | 03/10/2025

The HKMA has issued new guidance for banks, outlining tools to help smaller firms decarbonise as supply chain disclosure rules tighten.

Fintech / Regtech

HKMA Tenders for Advanced Threat Detection System

By Manesh Samtani | 03/10/2025

The HKMA is seeking a solution to monitor encrypted traffic and automate responses to sophisticated cyber threats, including APTs.

Securities / Derivatives

HKEX Warns Clearing Members on Misuse of Client Accounts

By Manesh Samtani | 02/10/2025

HKEX has reminded clearing members of their due diligence obligations and flagged common errors in client margin offsetting.

Crypto / Digital Assets

Hong Kong Regulators Update Rules for Crypto Intermediaries

By Manesh Samtani | 01/10/2025

New rules allow licensed firms to offer staking services and use off-platform trading desks, while relaxing some requirements for professional investors.

Securities / Derivatives

HKEX Proposes Major Overhaul of Structured Products Listing Rules

By Sanday Chongo Kabange | 01/10/2025

HKEX is consulting on plans to significantly raise capital and rating requirements for issuers while streamlining listing processes to boost competitiveness.

Enforcement

Hong Kong SFC Fines Brokerage Over Client Money Failures

By Sanday Chongo Kabange | 30/09/2025

The SFC reprimanded Roofer Securities for 12 incidents of improper client money segregation, including using client funds to meet its own margin calls.