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AML / KYC
Hong Kong Legislative Council Passes AML/CTF Amendment Bill
By Manesh Samtani | 08/12/2022
New licensing regime for VASPs will start on 1 June 2023. New registration regime for precious metals dealers will start on 1 April 2023.
Crypto / Digital Assets
Three Firms Apply to Launch Crypto ETFs in Hong Kong
By Editors | 07/12/2022
Three fund managers have submitted applications to the SFC seeking approval to list ETFs in Hong Kong that invest in bitcoin and ether futures.
Securities / Derivatives
FSC Korea Unveils Plans to Disclose Names of Rule Breakers
By Editors | 06/12/2022
The FSC said disclosing the names of those who breach short selling rules or create market disturbances will create a deterrence effect and reduce illegal activities in capital markets.
Market Infrastructure
HKTR Announces Transitional Arrangement to Accommodate UTI Reporting
By Editors | 05/12/2022
Due to different UT adoption timelines across jurisdictions, reporting entities are allowed to report the UTI in any of the data fields of “UTI-USI”, “UTI-TID” or “Global UTI”.
Securities / Derivatives
HKEX Launches Options on Hang Seng TECH Index Futures
By Editors | 29/11/2022
The new contract and other enhancements to Hang Seng TECH Index derivatives suite will provide global investors more choice and flexibility, said HKEX’s Wilfred Yiu.
Capital / Liquidity
SFC Proposes Risk Management Guidelines for Futures Brokers
By Editors | 28/11/2022
The guidelines strengthen requirements for futures brokers to safeguard client assets, put in place trading controls, and set prudent client limits.
Enforcement
HK Court Orders Investment Company to Compensate Clients
By Editors | 25/11/2022
The investment firm sold clients’ securities without authorisation, misappropriated the proceeds, and fabricated documents to conceal the transactions.
Market Infrastructure
Swap Connect Launch Facing Likely Delay – Report
By Editors | 25/11/2022
Opening China’s USD 5 trillion swap market to foreign investors will enable them to better manage interest rate risks arising from Chinese bond investments.
Market Infrastructure
SFC Proposes Further Changes to Position Limit Regime
By Editors | 23/11/2022
The SFC proposes to expand the list of specified contracts and introduce an excess position limit regime for clearing participants.
Crypto / Digital Assets
Singapore and Hong Kong Regulators Address FTX Queries
By Editors | 15/11/2022
MAS said FTX is neither licensed nor exempt from licensing in Singapore. Hong Kong’s SFC said licensed fund managers’ exposure to FTX is “immaterial”.
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