Securities and Futures Commission

Cloud & Infrastructure

When Regulations and Technology Clash

By Peter Guy | 26/10/2015

The ill-conceived pursuit of technology innovations by wealth managers and over cautious regulations are causing more uncertainty among clients.

Market Abuse

Hong Kong, China to Strengthen Information Exchange

By Editors | 15/10/2015

Hong Kong’s Securities and Futures Commission is looking to strengthen information sharing and cooperation with the China Securities Regulatory Commission to guard against market misconduct.

Clearing & Post-Trade

SFC Chairman Pushes for OTC Derivatives Reform

By Editors | 14/10/2015

The chairman of the Securities and Futures Commission says there is no room for delay in the implementation of OTC derivatives reforms as international standards need to be met.

Resolution & Recovery

Hong Kong to Establish Resolution Regime This Year

By Editors | 12/10/2015

Majority of respondents supportive of the proposal to establish local resolution regime in line with FSB standards.

Structural Regulation

Hong Kong to Streamline Fund Authorisation Process

By Editors | 12/10/2015

Intention to promote fund providers’ self-compliance and reduce the overall processing time without compromising investor protection.

Trading & Investment

Hong Kong Considers Centralised Fund Platform

By Editors | 11/10/2015

The Hong Kong Securities Association is holding talks with Hong Kong Exchange and Clearing Limited to evaluate the possibility of launching a centralised fund platform.

Structural Regulation

Hong Kong Terminates Plan for Dual-Class Shares

By Editors | 06/10/2015

The Stock Exchange of Hong Kong has terminated a plan to allow dual-class shares and other weighted-voting rights structures after objection from the Securities and Futures Commission.

Structural Regulation

Hong Kong Scraps Dual-Class Shares Plan

By Samuel Riding | 05/10/2015

SFC objects, saying proposals would damage reputation of Hong Kong’s regulatory system.

Structural Regulation

Hong Kong SFC Chairman Carlson Tong Reappointed

By Editors | 05/10/2015

The Securities and Futures Commission has reappointed Carlson Tong as its chairman for a term of three years effective from October 20, 2015.