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Enforcement
HK ICAC Charges Property Agent With Mortgage Loan Fraud
By Ranamita Chakraborty | 01/11/2021
The property agent Chiu Ka-wai applied for a mortgage loan with HSBC and falsely represented that the property was for self-occupancy.
Securities / Derivatives
Hong Kong Introduces Fund Re-domiciliation Mechanisms
By Manesh Samtani | 01/11/2021
New mechanisms have been established to enable investment funds set up overseas to re-domicile to Hong Kong as OFCs or LPFs.
Fintech / Regtech
HKIMR Offers Suggestions to Narrow AI/BD Talent Gap
By Editors | 31/10/2021
An estimated 2,000 professionals with both finance and AI/big data skills are needed to meet the talent gap in Hong Kong’s financial industry.
Securities / Derivatives
Hong Kong Bourse Launches ‘Kill Switch’ Service
By Editors | 31/10/2021
The ‘kill switch’ service allows exchange participants to quickly cancel outstanding orders by broker number in contingencies.
Securities / Derivatives
HKEX Proposes Changes to Rules Governing Share Schemes
By Editors | 31/10/2021
Listed companies will be able to grant no more than 10 percent of their total shares in share award or option schemes.
Securities / Derivatives
SFC Finalises Conduct Rules for Bookbuilding, Placing Activities
By Manesh Samtani | 31/10/2021
New requirements on bookbuilding, pricing, allocation and placing activities will take effect in August 2022, the SFC said.
Securities / Derivatives
HKMA, SFC Direct Intermediaries to Improve Client Trade Practices
By Editors | 30/10/2021
Intermediaries have been required to undertake remedial action to address non-compliance with transaction-related disclosure requirements.
Securities / Derivatives
SFC Finalises Changes to Code on Pooled Retirement Funds
By Editors | 29/10/2021
The amendments include enhanced requirements for PRF operators including product providers, trustees, management companies and insurance companies.
HK Passes Legislation to Expand FRC’s Regulatory Functions
By Sanday Chongo Kabange | 28/10/2021
The FRC will become a full-fledged independent regulatory body for the accounting profession, performing inspections, investigations and disciplinary work.
Enforcement
SFC Bans Former StanChart Licensee for Life
By Editors | 28/10/2021
The former licensee failed to disclose to the SFC in licensing applications that he was the subject of a criminal investigation.
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