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Market Infrastructure
CSRC, SFC Outline Plans to Include ETFs in Stock Connect
By Manesh Samtani | 30/05/2022
Preparation for formal implementation will take about two months. ETF eligibility criteria have been published by HKEX, SSE and SZSE for consultation.
Securities / Derivatives
HKMA Directs Banks to Comply with New Rules for Trust Business
By Editors | 29/05/2022
Banks and their subsidiaries have until 1 June 2023 to comply with new regulatory requirements for their trust business and related activities.
Enforcement
HK ICAC Charges Ex-Sunway Employee for Money Laundering
By Editors | 19/05/2022
A former personal assistant helped his boss to launder HKD 125 million borrowed from listed company Sunway International Holdings.
Fintech / Regtech
SFC Grants In-principle Approval to HashKey Crypto Platform
By Manesh Samtani | 30/04/2022
HashKey’s platform will offer trading, brokerage and automated trading services for cryptocurrencies, virtual commodities, stablecoins and security tokens.
Market Infrastructure
HKEX, SFC to Open HKIDR Testing to Market on 16 May
By Sanday Chongo Kabange | 27/04/2022
Regulated intermediaries are asked to get ready for the testing, which is mandatory. The HKIDR is expected to be implemented in the later part of Q4 2022.
Securities / Derivatives
SFC Proposes Amendments to Position Limit Regime
By Editors | 26/04/2022
The proposals will expand the list of futures and options contracts for which the SFC may prescribe position limits.
Securities / Derivatives
SEHK Adopts New Rules for Bookbuilding, Placing Activities
By Editors | 25/04/2022
The listing rule amendments, due to take effect in August, are a consequence of changes to the Code of Conduct finalised by the SFC in October.
AML / KYC
Hong Kong is Moving to a Robust Regulatory Framework for Crypto
By Etelka Bogardi | 19/04/2022
Etelka Bogardi and Amy Chung say Hong Kong’s efforts to regulate the crypto sector and stablecoin market are on the whole in line with international trends while leaving room for further development.
Enforcement
SFC Bans China Tonghai Securities Representative for 20 Months
By Editors | 12/04/2022
The representative conducted 1,089 trades in clients’ stock options accounts but was only given specific authorisation for 87 trades of the trades.
ESG / Sustainability
Hong Kong Launches Climate Risk Data Source Repository
By Editors | 06/04/2022
The repository contains a set of available data sources to help FIs manage climate-related risks and set climate-related goals and strategies.
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