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HK SFC’s Case Completions Surge
By Samuel Riding | 17/02/2017
Regulator completes nearly 40% more investigations in 9M16; sharp fall in criminal charges laid.
Market Infrastructure
HK SFC Joins Blockchain Consortium
By Samuel Riding | 15/02/2017
Regulator to test blockchain-backed securities and futures transactions.
Ex-HSBC Employee Banned for Life
By Samuel Riding | 14/02/2017
SFC says Li Lee not fit and proper to be licensed following criminal convictions.
Market Infrastructure
HKEX Appoints Group General Counsel
By Samuel Riding | 14/02/2017
Ferheen Mahomed will serve as legal department head, monitor LME, LME Clear.
Market Infrastructure
HK SFC Reprimands, Fines Forex Firm
By Samuel Riding | 10/02/2017
Firm’s neglect of regulatory standards affected prices in about 240 transactions.
AML / KYC
HK Freezes Assets in Insider Dealing Probe
By Samuel Riding | 06/02/2017
Court grants SFC request to stop suspects transferring $3.3 million out of Hong Kong.
Market Infrastructure
HK Announces OTC Derivatives Reporting Tests
By Samuel Riding | 30/01/2017
Licensed corporations need to complete tests by the end of May.
AML / KYC
HK Regulator Details AML/CTF Failures
By Samuel Riding | 27/01/2017
SFC identified 200 instances of non-compliance during 2016 inspections.
Market Infrastructure
HK Brokers Blackmailed by DDoS Attackers – SFC
By Samuel Riding | 27/01/2017
Regulator urges firms to implement anti-DDoS systems, warns on ‘reflective amplification’ attacks.
HK SFC Reprimands, Fines Asset Manager
By Samuel Riding | 26/01/2017
Regulator concludes Value Partners exceeded authorised share capital, failed to report incident in good time.
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