Hong Kong

Trading & Investment

HKEX Delays Derivatives VCM

By Samuel Riding | 14/11/2016

Regulator cites potential technical issue uncovered during final preparations.

Anti-Money Laundering

HK Regulators Publish AML/CTF Training Course

By Samuel Riding | 11/11/2016

Materials can be used as a reference and for internal training.

Anti-Money Laundering

HK SFC Forms Specialist Teams for Key Risk Areas

By Samuel Riding | 10/11/2016

Temporary teams will cover IPO misconduct, misconduct on GEM; AML/KYC, and mis-selling.

Structural Regulation

Rise in Complaints Warrants HK IPO Reform – SFC

By Samuel Riding | 09/11/2016

Proposed listing reforms will enhance SFC’s transparency, accountability and efficiency, CEO says.

Structural Regulation

HKEX – Compromising Regulation to Win Business?

By Peter Guy | 07/11/2016

Exchange faces critical decisions on regulatory development as it chases all important technology listings.

Trading & Investment

HK Launches Best Execution Review

By Samuel Riding | 07/11/2016

Securities regulator to conduct on-site inspections, benchmark vs other regulators.

Market Abuse

Former UOB Rep Banned Over $6.48mn Trading Loss

By Samuel Riding | 03/11/2016

Former representative said to have breached Code of Conduct; banned for 10 years.

KYC & CDD

HK FIs Exclude Up to 25% of Potential Customers Due to Compliance

By Samuel Riding | 02/11/2016

Lexis Nexis survey suggests KYC data sharing could help institutions’ meet financial inclusion goals.

Anti-Money Laundering

Hong Kong Suspicious Transaction Reports Surge

By Samuel Riding | 02/11/2016

Joint Financial Intelligence Unit received nearly 60,000 reports in 1st nine months of 2016.