Hong Kong

Supervision & Enforcement

SFC Appoints New Head of Enforcement

By Editors | 24/03/2016

Thomas Atkinson to move from Ontario Securities Commission on 3-year term.

Structural Regulation

SFC Could Follow UK Crowdfunding Regulation Format

By Samuel Riding | 23/03/2016

Hong Kong regulator considering UK-style framework and prospectus exemptions.

Trading & Investment

SFC to Propose ‘See-through’ Investor Identification

By Samuel Riding | 10/03/2016

System would allow regulator to see beyond broker transactions to identify instructing investors.

Conduct, Culture & Accountability

SFC Cuts Retail Investors from Ownership Principles

By Samuel Riding | 08/03/2016

Only minor changes made to best-practice guidelines after public consultation.

Market Abuse

HKEx: In Through the Back Door

By Peter Guy | 07/03/2016

Mainland Chinese buyers are treating the Hong Kong stock exchange like a breeding pen for listed shells.

Structural Regulation

HKEx Defends Low Entry Level for Listings

By Samuel Riding | 03/03/2016

Chief executive says investors’ ability to exit bad companies more important, warns on shell companies.

Clearing & Post-Trade

SFC Pushes Back ATS Guideline Implementation

By Samuel Riding | 02/03/2016

Hong Kong regulator confirms deferral to coincide with introduction of mandatory OTC clearing.

Conduct, Culture & Accountability

SFC Fines Yuanta Securities’ HK Unit for Disclosure Failings

By Samuel Riding | 29/02/2016

Securities regulator says firm hid bond deal execution prices and financial gains.

Trading & Investment

Hong Kong Expands Short Position Reporting Rules

By Samuel Riding | 25/02/2016

SFC expands position reporting to all securities that can be shorted; sets collective investment scheme threshold at HKD30 million.