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AML / KYC
Postcards from the Crypto Frontier
By Peter Guy | 30/04/2018
Like a wild west cowboy town, Asian crypto-trading has overwhelmed regulatory efforts to control and discourage its growth. But regulatory confusion and misunderstanding have created opportunities and pitfalls.
Market Infrastructure
HKEX Appoints Laura Cha as Chairman
By Editors | 27/04/2018
Industry veteran Laura Cha is first female chairman for a two-year term, subject to approval by chief executive Carrie Lam.
Fintech / Regtech
HK Brokers Rush to Comply with SFC Cybersecurity Rules
By JP Reimann | 18/04/2018
Several online brokers had been hoping for a delay, tech advisory firm suggests some are ‘willing to trade a little security for convenience’.
Enforcement
SFC Reprimands, Fines Nomura’s Instinet $2.2mn
By Editors | 16/04/2018
The firm failed to put in place reasonable controls to ensure non-proprietary orders received execution priority, prevent erroneous and disorderly orders being sent to the market.
Fintech / Regtech
SFC Eying Rules on Instant Message Trade Orders
By Samuel Riding | 16/04/2018
Executive director also says regulator to develop common standard on the content and format of data required to be kept by investment firms.
Securities / Derivatives
SFC Identifies Best Practices for Alternative Liquidity Pools
By Editors | 10/04/2018
ALP operator guidelines should include third-party order routing and information about prioritisation for orders simultaneously posted to exchanges; all ALP users should be qualified investors.
Fintech / Regtech
SFC Issues Robo-advice Guidelines
By Samuel Riding | 29/03/2018
Robo-advice platforms should explain how their underlying algorithms operate, ensure regular testing to ensure they remain fit for purpose.
Enforcement
IPO Sponsors Still Deficient, says SFC
By Editors | 27/03/2018
Thematic review details deficiencies in standards of conduct, due diligence practices and internal systems and controls.
Enforcement
SFC Fines UBS Securities for Missing Client Consent Records
By Editors | 23/03/2018
The firm was only able to provide the regulator about half of the client consents for facilitation trades.
Enforcement
Deutsche Fined, Censured for HK Regulatory Breaches
By Samuel Riding | 15/03/2018
Securities regulator says fine would have been much higher were it not for self-reporting of breaches, cooperation in inquiry and ‘remedial measures’.
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