Securities and Futures Commission

    image

    Securities / Derivatives

    Hong Kong REITs Allowed to Repurchase Treasury Units

    By Editors | 27/05/2024

    The requirements for SFC-authorised REITs are similar to those applicable to other listed entities, following rule amendments made last month.

    image

    Enforcement

    HK: Insider Trading Prosecution May Prompt Hedge Fund Closure

    By Editors | 24/05/2024

    “It is in the best interests of our investors to return their capital in an orderly manner,” a Segantii spokesperson said.

    image

    Securities / Derivatives

    Korea: FSS Head Considers Partial Lifting of Short Selling Ban

    By Editors | 22/05/2024

    FSS Governor Lee Bok-hyun said he personally wishes to allow short selling practices in June, at least partially.

    image

    Enforcement

    Hong Kong Court Jails Two Former Brokers for False Trading

    By Editors | 20/05/2024

    The two men, formerly licensed representatives of KGI Asia Limited and South China Securities Limited, were each jailed for three months.

    image

    ESG / Sustainability

    ICMA Proposes Draft Code for ESG Data Providers

    By Manesh Samtani | 17/05/2024

    The draft Code of Conduct was prepared by an ICMA-led industry working group that was sponsored by Hong Kong’s SFC.

    image

    Securities / Derivatives

    SFC Allows Broader Master-Feeder ETF Offerings in Hong Kong

    By Editors | 17/05/2024

    The SFC is extending the existing streamlined requirements for master ETFs to overseas-listed actively managed ETFs.

    image

    Market Infrastructure

    Regulators Announce Enhancements to Swap Connect

    By Sanday Chongo Kabange | 14/05/2024

    The enhancements will enrich the tradeable products, improve ancillary services, and reduce investor participation costs.

    image

    Securities / Derivatives

    China Mulls Tax Exemption for Stock Connect Investors

    By Editors | 14/05/2024

    The proposal to scrap the dividend tax for mainland Stock Connect investors was submitted in March by the SFC’s Tim Liu.

    image

    Securities / Derivatives

    HKMA Issues Revised Guideline on SFC-registered AIs

    By Editors | 13/05/2024

    The revised module aims to serve as a “convenient regulatory handbook” for HKMA-authorised institutions that are also registered with the SFC.

    image

    Securities / Derivatives

    LegCo Panel Provides Updates on HK Stock Market Reforms

    By Manesh Samtani | 09/05/2024

    The documents outline progress on paperless corporate communications, the USM regime, and extreme weather trading proposals.

    JOIN OUR NEWSLETTER

    An exclusive weekly selection of top stories from the Regulation Asia editorial team.