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Conduct, Culture & Accountability
Merrill Lynch Units’ $1.9mn Fine Could Have Been Much Larger – HK SFC
By Samuel Riding | 27/03/2017
One unit advised on futures contracts for more than 10 years without the required license.
Anti-Money Laundering
HK SFC Fines Brokerage $335,000 for 300 AML Failures
By Samuel Riding | 15/03/2017
Zhongtai International breached AML/CTF Ordinance, Code of Conduct and SFC guidance.
Conduct, Culture & Accountability
Red Flags in HK Managers in Charge Regime
By Samuel Riding | 09/03/2017
July deadline looming large over financial institutions and their service providers.
Anti-Money Laundering
HK SFC Fines Securities Firm for AML Breaches
By Samuel Riding | 07/03/2017
Firm breached 3 regulations including SFC Code of Conduct.
Trading & Investment
HK Expands Fund Disclosure Requirements
By Samuel Riding | 06/03/2017
All authorised funds must now disclose ongoing charges, past performance.
Structural Regulation
HK to Expand Professional Investor Qualification
By Samuel Riding | 02/03/2017
Joint accounts and existing investments to be counted towards qualification amount.
Supervision & Enforcement
Enforcement Roundup – Australia, Hong Kong and Malaysia
By Samuel Riding | 21/02/2017
Malaysia revokes licenses for manipulative trading activities; HK offender ordered to pay regulator’s costs.
Supervision & Enforcement
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.
Custody & Infrastructure
HK SFC Joins Blockchain Consortium
By Samuel Riding | 15/02/2017
Regulator to test blockchain-backed securities and futures transactions.
Fraud, Scams & Cybercrime
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.
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