Securities and Futures Commission

Structural Regulation

SFC, HKEx Issue Consultation on Listing Regulation

By Samuel Riding | 20/06/2016

Regulator and stock exchange propose changes to decision-making, governance structure.

Liquidity Risk

HK SFC Planning Fund Liquidity Rules

By Editors | 17/06/2016

Regulators’ increasingly concerned about role of investment funds as source of systemic risk.

Emerging Prudential Risks

Regulation and the Buy Side’s Role in Liquidity

By Samuel Riding | 16/06/2016

Asian regulators are starting to consider how to minimise the risks in investment funds’ growing role as market makers.

Conduct, Culture & Accountability

State Street Fined Over Management of HK Tracker

By Samuel Riding | 16/06/2016

Cash balances in related party’s demand deposit accounts earned no interest over 4.5 years.

Structural Regulation

HKEx, SFC to ‘Fine-tune’ IPO Regulations

By Samuel Riding | 02/06/2016

SFC could become ‘last gatekeeper’ in IPO process, also set to review back-door listings.

AI Risk & Governance

New Frontiers in Regtech

By Samuel Riding | 01/06/2016

Technology is proving its value beyond KYC and AML and improving both compliance and regulatory oversight.

Cloud & Infrastructure

Fintech – Banks vs. Innovators; Regulation vs. Innovation

By Samuel Riding | 01/06/2016

Finnovasia 2016 panellists suggests its time these two debates were put to bed.

Trading & Investment

SHFE Applies for HK ATS License

By Samuel Riding | 01/06/2016

Shanghai Futures Exchange platform could initially trade crude oil futures.

KYC & CDD

Guotai Junan Fined for Breaching Client ID Rule

By Samuel Riding | 31/05/2016

SFC says securities firm took more than six months to comply with two-day disclosure rule.