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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.
Enforcement
Korea: FSC, FSS Relaunch Special Investigations Team
By Editors | 05/04/2022
The team comprises officials from the FSC and FSS, who will be authorised to investigate illegal acts in the capital market more quickly.
Securities / Derivatives
HKEX Publishes Testing Guidelines for HKIDR Implementation
By Editors | 04/04/2022
HKEX has published testing guidelines for market participants and intermediaries ahead of the implementation of the new investor identification regime.
Market Infrastructure
HKMA, SFC to Add Calculation Periods to Clearing Rules
By Editors | 03/04/2022
The HKMA and SFC also proposed to add Nomura Financial Products Europe GmbH to the FSP List under the OTC derivatives clearing regime.
Securities / Derivatives
SFC Sets Out Expectations on Complaints Handling Processes
By Editors | 01/04/2022
LCs should set a 7-day timeline for acknowledging receipt of complaints and a 2-month timeline for providing a final response to the complainant.
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