Hong Kong

Market Infrastructure

HK SFC Bans Ex HSBC Broker

By Samuel Riding | 03/01/2017

Investigation finds Lam Yuk Wai performed unauthorised transactions and deceived clients.

Securities / Derivatives

HKEX to Introduce Derivatives VCM on 16 January

By Samuel Riding | 03/01/2017

Volatility control mechanism was originally to be introduced on 14 November 2017.

Capital / Liquidity

HK Gov’t Gazettes New Disclosure Requirements

By Samuel Riding | 03/01/2017

Amendments also introduce some exemptions from existing requirements.

AML / KYC

HK SFC Clarifies Product Suitability Requirements

By Samuel Riding | 28/12/2016

Advertisements, research reports may not trigger obligations if no direct communication with client.

Hong Kong – 2016 in Review

By Samuel Riding | 22/12/2016

Enforcement the major order of the year for Hong Kong regulators.

Market Infrastructure

HKMA Implements Cybersecurity Programme

By Samuel Riding | 22/12/2016

Hong Kong banking industry can soon access Cyber Intelligence Sharing Platform

Securities / Derivatives

Hong Kong Trials Short Position Reporting Rules

By Samuel Riding | 20/12/2016

New requirements due to come into effect on March 15.

Market Infrastructure

HKMA Develops Enhanced Cybersecurity Competency Framework

By Samuel Riding | 20/12/2016

Framework including continuing professional development to foster cybersecurity talent ..

Securities / Derivatives

HK SFC Asks Brokerage to Freeze Client Account

By Samuel Riding | 19/12/2016

Regulator says client account is suspected of being involved in market manipulation, account hacking.