Hong Kong

HKEX, CSRC and SFC on a Regulatory Collision Course

By Peter Guy | 31/07/2017

Regulatory problems in China market could spill into Hong Kong through HKEX’s new third board.

Capital / Liquidity

HK Fund Dealing Desks Win OTC Capital Requirements Reduction

By Editors | 27/07/2017

OTCD regime seen to need further tweaks following responses to 2015 consultation; fund manager dealing desks win capital requirements reduction. […]

AML / KYC

HK’s New Financial Services Chief Advocates Centralised KYC Registry

By Editors | 19/07/2017

Top official says updated ID cards with greater security could be used as basis of the centralised KYC; boost Hong Kong’s status in fintech.

Capital / Liquidity

HK Beats Singapore to Resolution Regime

By Editors | 10/07/2017

HKMA narrowly outpaces Singapore rival to enacting regime; becomes lead resolution body with responsibility for securities and insurance as well as banking.

Enforcement

HK SFC, CSRC to Boost Stock Connect Supervision

By Editors | 03/07/2017

Regulators conducted 60 joint investigations in 1H16, taking total to 365 since Shanghai-HK link established in 2014.

Fintech / Regtech

Fintech Innovation vs. Regulation

By Peter Guy | 03/07/2017

Hong Kong needs to beware as Australia and Singapore regulators issue game-changing initiatives.

AML / KYC

GRC – The Path to Managing Regulatory Change Intelligently

By Derek McGibney | 29/06/2017

Why small and medium-sized firms don’t need an ‘oversized’ compliance effort.

Market Infrastructure

HK SFC to Review Short-selling Rules

By Editors | 27/06/2017

Top financial services and treasury official says eyeing market activity, global regulatory developments.

Market Infrastructure

HKEX’s New Board a High-stakes, Regulatory Gamble

By Peter Guy | 26/06/2017

Defying critics, proposed board includes platforms for dual class shares and tech start-ups.