Securities and Futures Commission

Securities / Derivatives

SFC Revokes Securities Firm License for ‘Egregious Conduct’

By Samuel Riding | 16/12/2016

Officers banned from the industry for using client money for personal use.

AML / KYC

HK SFC Fined Firms $3.33mn in 1H16

By Samuel Riding | 09/12/2016

Disciplinary actions up 67%; civil proceedings rise 23%; completed investigations increase by 24%.

Regulation: Now Up Close and Personal

By Peter Guy | 05/12/2016

HK’s proposal to expand liabilities to support staff will only sow division.

Market Infrastructure

Shenzhen-HK Stock Connect Opens

By Samuel Riding | 05/12/2016

Accompanying rules aim to curb cross-border illegal activity, market misconduct.

Market Infrastructure

SFC Mandates Online Submission of Licensee Documentation

By Samuel Riding | 30/11/2016

Paper filing by individual applicants and licensees will not be allowed from 1 February 2017.

HK to Introduce Key Manager Regime

By Samuel Riding | 30/11/2016

Registration set to include ‘hundreds of executives in support functions’.

Uncategorised

Regtech in Asia – Regulators Playing Catch-up

By Samuel Riding | 29/11/2016

Regulators appear to be lagging behind market infrastructure and institutions in using technology.

Securities / Derivatives

HK Regulators to Brief on OTC Derivatives Reporting

By Samuel Riding | 29/11/2016

Sessions aim to brief firms on their obligations before 1 July 2017 implementation.

Market Infrastructure

SZ-HK Stock Connect to Start 5 December

By Samuel Riding | 28/11/2016

Accompanying rules aim to curb cross-border illegal activity, market misconduct.