Securities and Futures Commission

AML / KYC

SFC to Consult on Investor Identity Disclosure

By Samuel Riding | 23/05/2016

Brokers could be required to disclose identities of individuals making equity trades.

Market Infrastructure

Credit Suisse Fined for Market Integrity Rule Breaches

By Samuel Riding | 20/05/2016

Australian unit fined USD50,000 for failure to have automated trading filters in place to prevent interference with market integrity.

Market Infrastructure

Alder Appointed Chair of IOSCO Board

By Samuel Riding | 13/05/2016

SFC’s chief executive replaces Greg Medcraft.

HSBC Private Bank Fine Breaks New Regulatory Ground

By Peter Guy | 09/05/2016

Hong Kong SFC’s punitive measures are unlikely to make investing safer for advisors or clients.

AML / KYC

HSBC Appeals Mis-selling Fine

By Samuel Riding | 05/05/2016

Private banking unit was hit with HKD605mn SFC fine in July 2015.

Market Infrastructure

ECC HK Calls for Study on APAC Impact of EU Fund Rules

By Samuel Riding | 15/04/2016

Chamber of Commerce in Hong Kong also seeking equivalency for EU and Asian fund passporting regimes.

Moody’s SFC Fine Halved, Ruling Upheld

By Samuel Riding | 01/04/2016

Hong Kong’s Securities and Futures Appeals Tribunal upheld a ruling that a Moody’s Investors Service report was misleading and inaccurate. […]

AML / KYC

Hong Kong Launches New Professional Investor Regime

By Samuel Riding | 28/03/2016

Regime introduces principles-based test for sophistication of corporate professional investors.

SFC Appoints New Head of Enforcement

By Editors | 24/03/2016

Thomas Atkinson to move from Ontario Securities Commission on 3-year term.