Securities and Futures Commission

Market Infrastructure

SFC, HKEx Issue Consultation on Listing Regulation

By Samuel Riding | 20/06/2016

Regulator and stock exchange propose changes to decision-making, governance structure.

Securities / Derivatives

HK SFC Planning Fund Liquidity Rules

By Editors | 17/06/2016

Regulators’ increasingly concerned about role of investment funds as source of systemic risk.

Uncategorised

Regulation and the Buy Side’s Role in Liquidity

By Samuel Riding | 16/06/2016

Asian regulators are starting to consider how to minimise the risks in investment funds’ growing role as market makers.

Market Infrastructure

State Street Fined Over Management of HK Tracker

By Samuel Riding | 16/06/2016

Cash balances in related party’s demand deposit accounts earned no interest over 4.5 years.

Market Infrastructure

HKEx, SFC to ‘Fine-tune’ IPO Regulations

By Samuel Riding | 02/06/2016

SFC could become ‘last gatekeeper’ in IPO process, also set to review back-door listings.

Uncategorised

New Frontiers in Regtech

By Samuel Riding | 01/06/2016

Technology is proving its value beyond KYC and AML and improving both compliance and regulatory oversight.

Uncategorised

Fintech – Banks vs. Innovators; Regulation vs. Innovation

By Samuel Riding | 01/06/2016

Finnovasia 2016 panellists suggests its time these two debates were put to bed.

Market Infrastructure

SHFE Applies for HK ATS License

By Samuel Riding | 01/06/2016

Shanghai Futures Exchange platform could initially trade crude oil futures.

AML / KYC

Guotai Junan Fined for Breaching Client ID Rule

By Samuel Riding | 31/05/2016

SFC says securities firm took more than six months to comply with two-day disclosure rule.