Securities and Futures Commission

Anti-Money Laundering

HK Brokers’ Operations Halted for Allegedly Handling Proceeds of Crime

By Editors | 13/06/2017

Hong Kong’s SFC (Securities and Futures Commission) issued a restriction notice on a foreign exchange broker amid concerns money it […]

Structural Regulation

Get Ready for Expanded OTC Derivatives Reporting – SFC

By Editors | 05/06/2017

The Hong Kong SFC (Securities and Futures Commission) issued a circular telling licensed corporations to ensure their systems are prepared […]

Cybersecurity

Cybersecurity – HK SFC’s Top Priority to Soon Become the Same for Senior Managers

By JP Reimann | 23/05/2017

New rules likely soon after SFC consultation as WannaCry underscores need for protection.

Cybersecurity

HK SFC Launches Broker Cybersecurity Consultation

By Editors | 09/05/2017

Cybercrime rapidly becoming a top priority of Asia Pacific regulators.

Trading & Investment

SFC Launches Robo-advice Consultation

By Samuel Riding | 08/05/2017

Proposed rules cover governance, suitability requirements and complex product sales.

Structural Regulation

HK SFC Warns on ‘Phantom’ Brokerages

By Samuel Riding | 08/05/2017

Executive director for intermediaries says regulator will sanction or ban dormant firms.

Structural Regulation

Trades with Vietnam, Pakistan, Taiwan to be Exempt from HK OTC Reporting Requirements

By Samuel Riding | 28/04/2017

Securities law won’t be amended until October; firms asked to contact regulators if they cannot meet 1 July deadline.

Cybersecurity

HK Regulator to Ask Brokers to Upgrade Cybersecurity

By Samuel Riding | 20/04/2017

Development follows on from January warning on DDOS hacks and blackmail.

Cloud & Infrastructure

Hong Kong Pitches for Regtech Leadership

By JP Reimann | 13/04/2017

Regulators encourage mutual support and cooperation as industry players eye billions in cost savings.