Securities and Futures Commission

Market Infrastructure

HKEx to Review De-listing Rules

By Samuel Riding | 04/02/2016

Review prompted by institutional investors’ concerns about inability to exit positions.

Market Infrastructure

Goldman Sachs Censured for HK Takeover Code Breaches

By Samuel Riding | 03/02/2016

Investment bank failed to make dealing disclosures on 111 trades, breached research report restrictions.

AML / KYC

HK, Singapore, Australia Delay UTI Implementation

By Samuel Riding | 02/02/2016

Regulators to await international standards, delay implementation to early 2017.

Market Infrastructure

SFC Warns of Brokerage Account Security Breaches

By Samuel Riding | 29/01/2016

Incidents of unauthorised access prompt reminder from regulator, cybercrime bureau.

A Duty of Care: SFC, HKEx and China Metals Recycling

By Peter Guy | 26/01/2016

Hong Kong regulators and listing sponsors must share responsibility for IPO fraud.

Hong Kong AML Breaches Surge

By Samuel Riding | 08/12/2015

SFC uncovers 81 anti-money laundering breaches in third quarter of 2015.

Entering the Regtech Era

By Samuel Riding | 30/11/2015

In a new research report three Asia Pacific-based academics offer answers to the vexing question of how to regulate financial technology.

SFC Warns on Unlicensed Forex Broker

By Samuel Riding | 30/11/2015

IQSFX added to alert list on suspicion of conducting unlicensed business in Hong Kong.

Reacting to Asian ‘Risk Tilt’

By Samuel Riding | 26/11/2015

Asia’s rising economic influence and growth in the amount of risk being booked directly into the region are posing new questions for financial regulators and those they regulate.