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Resolution & Recovery
HK Consultation on Establishing Resolution Regime for Financial Institutions
By Editors | 07/01/2014
Hong Kong Government and regulators have launched the first stage of a public consultation on establishing an effective resolution regime for financial institutions, including financial market infrastructures.
Conduct, Culture & Accountability
SFC Fines HSBC over Inaccurate Licence Application
By Editors | 20/12/2013
The Hong Kong securities regulator on Thursday fined an arm of HSBC $5M HKD (US$640,000) for providing inaccurate information during […]
Emerging Prudential Risks
SFC Report Shows Trends in Risk & Risk Mitigation
By Editors | 19/12/2013
The Hong Kong Securities and Futures Commission (SFC) has released a report unveiling the trends in risk and risk mitigation. […]
Structural Regulation
SFC Issues Second Quarter Report
By Editors | 13/12/2013
The Hong Kong Securities and Futures Commission (SFC) has issued its quarterly report for the period July to September 2013.
Conduct, Culture & Accountability
SFC Increases Oversight of Listed Companies
By Editors | 12/12/2013
The Securities and Futures Commission (SFC) will take a broader and more proactive approach in overseeing corporate conduct of listed […]
Structural Regulation
Deutsche Bank Official: Regulation to Dominate Banking
By Editors | 11/12/2013
Regulation will dominate the banking industry for the next year and beyond, according to Dr Paul M Achleitner, Chairman of […]
Structural Regulation
HKEx and SGX Establish Framework for Cooperation on Regulatory Reforms
By Editors | 04/12/2013
HKEx and SGX have agreed to work closer on extraterritorial market infrastructure regulation impacting the Asian region.
Trading & Investment
Markit to Provide SFC Electronic Trading Rules Solution
By Editors | 29/11/2013
Markit announced today it had been selected by members of the Asia Securities Industry and Financial Markets Association (ASIFMA) to provide the online solution to facilitate compliance with Hong Kong’s Securities and Futures Commission’s (SFC) new electronic trading rules.
Structural Regulation
SFC Issues OTC Corporate Participant Survey
By Editors | 19/11/2013
The Securities and Futures Commission (SFC) today has issued a survey to corporate participants in the Hong Kong over-the-counter (OTC) […]
Clearing & Post-Trade
OTC Clear Granted Recognition by SFC
By Editors | 01/11/2013
OTC Clearing Hong Kong Limited (OTC Clear) has announced that the Securities and Futures Commission (SFC) has on the 25 […]
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