ADVERTISEMENT
Securities / Derivatives
HK, Singapore on Alert for Social Media Fuelled Manipulation
By Manesh Samtani | 19/02/2021
The SFC has issued restriction notices against 54 more trading accounts. Singapore regulators are guarding against “pump and dump” and “short and distort” scenarios.
Enforcement
SFC Freezes Brokerage Accounts Linked to Social Media Scam
By Editors | 11/02/2021
One of the SFC’s top priorities for the year is to crack down on ramp and dump scams and other types of market manipulation conducted through social media.
Securities / Derivatives
HKEX Appoints JP Morgan’s Nicolas Aguzin as New CEO
By Manesh Samtani | 09/02/2021
Aguzin is expected to help HKEX continue to build its competitiveness and support the ongoing growth and development of Hong Kong’s financial markets.
Securities / Derivatives
SFC Sets Out Conduct Standards Expected in Capital Raisings
By Editors | 08/02/2021
The proposals establish the standards of conduct expected of intermediaries participating in bookbuilding, pricing, allocation and placing activities.
AML / KYC
Greater Bay Regulators Sign MoU on Wealth Management Connect
By Manesh Samtani | 07/02/2021
The regulators agree to issue guidance to banks on product due diligence, investor protection, AML/CFT requirements and personal data protection, among other areas.
Securities / Derivatives
Asian Regulators Issue Warnings as GameStop Remains in Focus
By Manesh Samtani | 04/02/2021
Authorities in Hong Kong, Singapore, Korea and Malaysia are among those issuing warnings of possible investor losses as heightened volatility continues.
HK Regulators Ask Bankers to Explain Reasons for Departing City
By Editors | 27/01/2021
Executives who have relocated to Singapore or Tokyo have reportedly received phone calls from Hong Kong government agencies and regulators seeking explanations for the decisions.
Securities / Derivatives
Hong Kong, Thailand Agree Mutual Recognition of Funds
By Editors | 20/01/2021
Each Hong Kong or Thai fund approved under the MRF scheme will have to appoint a firm in the other market to serve as its representative.
ESG / Sustainability
Hong Kong Influence in Global Climate Finance of ‘Critical Importance’
By Manesh Samtani | 19/01/2021
At the Asian Financial Forum, SFC chief Ashley Alder discussed the steps Hong Kong has taken to support a greener and more sustainable future.
Enforcement
SFC Bans CCB Asia Branch Manager for Life
By Editors | 05/01/2021
The former manager used a cashier’s order application form pre-signed by a customer to misappropriate HK$3.6mn in April 2019.
JOIN OUR NEWSLETTER
A daily selection of top stories from the Regulation Asia editorial team