Securities and Futures Commission

Trading & Investment

China, Hong Kong Approve Cross-Border Stock Investment

By Editors | 10/04/2014

The Securities and Futures Commission and the China Securities Regulatory Commission have given their go-ahead to the Shanghai-Hong Kong Stock Connect program.

Supervision & Enforcement

EY Hires Former Goldman Regulatory Chief for Asia-Pacific Financial Services Office

By Editors | 25/03/2014

Global auditing and advisory firm EY has recruited a former Goldman Sachs regulatory and compliance chief as regulatory services leader for Asia-Pacific FSO.

Structural Regulation

Hong Kong Regulator Waives Annual Licensing Fee

By Editors | 17/03/2014

The Securities and Futures Commission (SFC) has waived the payment of annual licensing fees for market participants for another two-year period.

Structural Regulation

Hong Kong Exchange’s Chief Li Seeks Reform

By Editors | 16/03/2014

Hong Kong stock exchange chief executive Charles Li said regulators should find ways to make the city attractive for initial public offerings by new economy and technology companies.

Structural Regulation

Hong Kong Securities Regulator Amends Takeovers and Mergers Code

By Editors | 04/03/2014

The Securities and Futures Commission has amended the Codes on Takeovers and Mergers and Share Repurchases to bring them in line with the Companies Ordinance.

Trading & Investment

Algorithmic Electronic Trading in APAC

By Editors | 03/03/2014

Algorithmic electronic trading strategies in Asia appear to be poised for continued growth; however, more consistent regulatory regimes are required to promote further development of the market.

Structural Regulation

Hong Kong Regulator to Review Rules on Alternative Liquidity Pools

By Editors | 28/02/2014

The Securities and Futures Commission has begun a two-month consultation concerning the future regulation of alternative liquidity pools (ALPs), also known as dark pools.

Structural Regulation

Hong Kong Regulator Issues Circular on Cross-Border Business Activities

By Editors | 29/01/2014

The Securities and Futures Commission reminds licensed corporations to maintain effective policies, procedures and controls to monitor and ensure regulatory compliance in relation to their cross-border business activities.

Trading & Investment

Hong Kong Regulator Seeks Public Views on REIT Investment Scope

By Editors | 28/01/2014

Hong Kong’s Securities and Futures Commission is seeking public opinion on proposals to expand the investment scope of real estate investment trusts (REITs).