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Enforcement
SFC Fines Guosen for Regulatory Breaches Caused by Bugs
By Editors | 21/12/2022
Guosen Securities used expired standing authority of clients because its new operating system failed to send renewal notices to clients.
ESG / Sustainability
CDP to Help Enhance Sustainability Reporting in Hong Kong
By Editors | 21/12/2022
A new Climate and Environmental Risk Questionnaire has been developed to help SMEs with sustainability reporting.
Securities / Derivatives
HKEX Opens New York Office to Support International Clients
By Editors | 21/12/2022
HKEX says the New York office will make it easier to connect with investors, market participants and their intermediaries during their own working day.
Market Infrastructure
Shenzhen Exchange to Pilot Cross-Border Bonds to Serve GBA
By Editors | 20/12/2022
Issuers can be Chinese government entities or high-quality corporates. The SZSE is temporarily not charging any fees for cross-border bond listing services.
Market Infrastructure
SFC, CSRC Announce Move to Expand Scope of Stock Connect
By Editors | 19/12/2022
After the expansion, Stock Connect is expected to include stocks that account for more than 80 percent of equity trading in each market.
Securities / Derivatives
HKEX Proposes to Further Expand Paperless Listing Regime
By Editors | 19/12/2022
Paperless initiatives announced since 2020 have improved efficiency and lowered costs for issuers, HKEX says, proposing changes to further simplify its administrative procedures.
Securities / Derivatives
ICE Opens Access Centres in Hong Kong, Shanghai, Tokyo
By Editors | 18/12/2022
ICE says the enhanced connectivity includes ultra-low-latency access to exchanges in Hong Kong, Shanghai and Tokyo.
AML / KYC
HKMA Asks StanChart to Investigate Unauthorised Card Transactions
By Editors | 18/12/2022
Standard Chartered has said there is no evidence of a data leak, that it would arrange refunds, and that it has strengthened its monitoring systems in response.
Market Infrastructure
US Regulators Deem Audit Inspections of Chinese Firms a Success
By Manesh Samtani | 16/12/2022
The PCAOB did identify some deficiencies in their inspection work, but it was able to view complete audit work papers with no redactions.
Hong Kong Names Julia Leung as New SFC Chief
By Editors | 16/12/2022
Julia Leung will become CEO of the SFC on 1 January following Ashley Alder’s departure to become the UK FCA’s new chair.
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