Securities and Futures Commission

Securities / Derivatives

Rolling in the Regulations for Robo-Advisers

By Kristi Swartz | 01/08/2017

A SFC consultation paper proposes guidelines for robo-advisers to provide accurate, easily comprehensible information to investors.

Enforcement

Hong Kong Regulator ups Penalties Against Individuals

By Garima Chitkara | 01/08/2017

Fines against individuals as opposed to corporates were up in Hong Kong, a 63% increase in fines from the year before.

Securities / Derivatives

HK Auditing Brokers’ Protection of Client Assets

By Editors | 31/07/2017

Regulator cites weaknesses in internal account protection controls despite warnings; IOSCO report says HK due diligence to safeguard client rights […]

HKEX, CSRC and SFC on a Regulatory Collision Course

By Peter Guy | 31/07/2017

Regulatory problems in China market could spill into Hong Kong through HKEX’s new third board.

AML / KYC

US ICO Ruling Opens ‘Can of Worms’ for Asia

By Samuel Riding | 27/07/2017

Securities and Exchange Commission’s decision to define ICOs as securities adds to uncertainty around regulatory treatment of the virtual economy. […]

Capital / Liquidity

HK Fund Dealing Desks Win OTC Capital Requirements Reduction

By Editors | 27/07/2017

OTCD regime seen to need further tweaks following responses to 2015 consultation; fund manager dealing desks win capital requirements reduction. […]

Capital / Liquidity

HK Beats Singapore to Resolution Regime

By Editors | 10/07/2017

HKMA narrowly outpaces Singapore rival to enacting regime; becomes lead resolution body with responsibility for securities and insurance as well as banking.

Enforcement

HK SFC, CSRC to Boost Stock Connect Supervision

By Editors | 03/07/2017

Regulators conducted 60 joint investigations in 1H16, taking total to 365 since Shanghai-HK link established in 2014.

Fintech / Regtech

Fintech Innovation vs. Regulation

By Peter Guy | 03/07/2017

Hong Kong needs to beware as Australia and Singapore regulators issue game-changing initiatives.