Securities and Futures Commission

HK Court Rejects Citron Appeal

By Samuel Riding | 16/01/2017

Court says Left’s application to appeal not on time, would not have succeeded anyway.

‘Reg A+’ Answers Hong Kong’s Start-up Needs

By Peter Guy | 16/01/2017

Rather than starting a third board, HKEX should explore creative ideas for private placements.

AML / KYC

SFC Bans Ex-Citibank Staff for Tampering with Client Signature

By Samuel Riding | 06/01/2017

Regulator says former employee attempted to deceive bank on client application.

HK SFC Reprimands, Fines MIS Services $0.4mn

By Samuel Riding | 04/01/2017

MIS Services, formerly Standard Chartered Investment Services, said non-compliant with MPF Code and Code of Conduct.

Market Infrastructure

HK SFC Bans Ex HSBC Broker

By Samuel Riding | 03/01/2017

Investigation finds Lam Yuk Wai performed unauthorised transactions and deceived clients.

AML / KYC

HK SFC Clarifies Product Suitability Requirements

By Samuel Riding | 28/12/2016

Advertisements, research reports may not trigger obligations if no direct communication with client.

Hong Kong – 2016 in Review

By Samuel Riding | 22/12/2016

Enforcement the major order of the year for Hong Kong regulators.

Securities / Derivatives

Hong Kong Trials Short Position Reporting Rules

By Samuel Riding | 20/12/2016

New requirements due to come into effect on March 15.

Securities / Derivatives

HK SFC Asks Brokerage to Freeze Client Account

By Samuel Riding | 19/12/2016

Regulator says client account is suspected of being involved in market manipulation, account hacking.