Hong Kong

Trading & Investment

SHFE Applies for HK ATS License

By Samuel Riding | 01/06/2016

Shanghai Futures Exchange platform could initially trade crude oil futures.

KYC & CDD

Guotai Junan Fined for Breaching Client ID Rule

By Samuel Riding | 31/05/2016

SFC says securities firm took more than six months to comply with two-day disclosure rule.

Supervision & Enforcement

HK, US Regulators Agree Mutual Supervision, Oversight

By Samuel Riding | 24/05/2016

SFC and FINRA sign agreement on regulation of entities with cross-border operations.

Trading & Investment

SFC to Consult on Investor Identity Disclosure

By Samuel Riding | 23/05/2016

Brokers could be required to disclose identities of individuals making equity trades.

Cybersecurity

HKMA Launches Cybersecurity Initiative

By Samuel Riding | 19/05/2016

Programme to cover cyber resilience assessment, professional development and information sharing.

Supervision & Enforcement

HSBC Private Bank Fine Breaks New Regulatory Ground

By Peter Guy | 09/05/2016

Hong Kong SFC’s punitive measures are unlikely to make investing safer for advisors or clients.

Conduct, Culture & Accountability

HSBC Appeals Mis-selling Fine

By Samuel Riding | 05/05/2016

Private banking unit was hit with HKD605mn SFC fine in July 2015.

Conduct, Culture & Accountability

Moody’s SFC Fine Halved, Ruling Upheld

By Samuel Riding | 01/04/2016

Hong Kong’s Securities and Futures Appeals Tribunal upheld a ruling that a Moody’s Investors Service report was misleading and inaccurate. […]

Credit Risk

HK Banks ‘Stable’ Despite China Risks – Fitch

By Samuel Riding | 31/03/2016

Rating agency cites continued danger but notes banks’ declining exposure to mainland.