ADVERTISEMENT
ESG / Sustainability
SFC Finalises Climate Risk Requirements for Fund Managers
By Manesh Samtani | 22/08/2021
Fund managers have 12-15 months to comply with the requirements, which cover governance, investment management, risk management and disclosure.
Market Infrastructure
HKEX Set to Launch A-share Index Futures in October
By Editors | 20/08/2021
The SFC approved HKEX’s launch of the new futures contract on Friday, calling it a major milestone for Hong Kong’s capital markets.
AML / KYC
HKEX Publishes Operational Details for New Investor ID Regime
By Manesh Samtani | 15/08/2021
Market system development and testing will start in Q3 2021 and intermediaries will have to develop their internal systems by the end of Q1 2022.
AML / KYC
SFC Finalises Investor ID, OTC Securities Reporting Regimes
By Manesh Samtani | 11/08/2021
The investor identification regime is expected to be launched in H2 2022. The securities transactions reporting regime will go live in H1 2023.
Enforcement
Former HKEX Exec Pleads Not Guilty to Corruption Charges
By Editors | 11/08/2021
The former co-head of HKEX’s IPO-vetting team, Eugene Yeoh, was arrested in June 2019 for alleged bribery and misconduct in public office.
Securities / Derivatives
Deutsche Bank Set to Regain Ability to Sponsor HK IPOs
By Ranamita Chakraborty | 05/08/2021
Deutsche Bank has reportedly secured two senior hires who will be able to act as IPO principals, subject to regulatory approval.
Enforcement
Hong Kong SFC Fines UBS Over Regulatory Breaches
By Editors | 03/08/2021
The breaches involve research report disclosures, telephone recordings, client derivatives knowledge assessments, and structured product sales.
AML / KYC
SFC Calls on Industry to Report Suspected Ramp-and-dump Activity
By Manesh Samtani | 26/07/2021
Ramp-and-dump scams now account for about half of the market manipulation cases being investigated by the SFC. Overseas investors also being targeted.
AML / KYC
SFC Sanctions Sino-Rich Responsible Officers Over AML Breaches
By Editors | 20/07/2021
Sino-Rich Securities & Futures was fined for AML breaches in March. Its CEO and another director have been deemed responsible.
AML / KYC
SFC Issues Warning on Unregulated Virtual Asset Platforms
By Editors | 18/07/2021
Soon after the SFC’s statement, Binance announced that stock tokens will no longer be available for purchase on its website.
JOIN OUR NEWSLETTER
A daily selection of top stories from the Regulation Asia editorial team