Securities and Futures Commission

Market Infrastructure

IOSCO Appoints Quintet of APAC Regulators to Top Roles

By Samuel Riding | 23/11/2016

SEBI officials appointed as committee chairs; Australia, HK and Malaysia regulators as vice chairs.

Capital / Liquidity

HK Launches Resolution Consultation

By Samuel Riding | 23/11/2016

Rules aim to impose ‘suitably tailored constraints’ on resolution authorities.

Market Infrastructure

CSRC ‘Punishes’ Investor for Illegal Stock Connect Trading

By Samuel Riding | 21/11/2016

Regulator has recently warned of market manipulation; Shenzhen-HK link due to launch this month

HK SFC Bans Ex-Deutsche Securities Trader

By Samuel Riding | 18/11/2016

Ban follows Korean order to repay $36.95mn of illegal profit from stock index trades.

Market Infrastructure

HK SFC Warns on Stock Connect Risk

By Samuel Riding | 14/11/2016

Regulator calls for system enhancement due to expected increase in trading volume.

AML / KYC

HK Regulators Publish AML/CTF Training Course

By Samuel Riding | 11/11/2016

Materials can be used as a reference and for internal training.

AML / KYC

HK SFC Forms Specialist Teams for Key Risk Areas

By Samuel Riding | 10/11/2016

Temporary teams will cover IPO misconduct, misconduct on GEM; AML/KYC, and mis-selling.

Market Infrastructure

Rise in Complaints Warrants HK IPO Reform – SFC

By Samuel Riding | 09/11/2016

Proposed listing reforms will enhance SFC’s transparency, accountability and efficiency, CEO says.

Market Infrastructure

HK Launches Best Execution Review

By Samuel Riding | 07/11/2016

Securities regulator to conduct on-site inspections, benchmark vs other regulators.