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Enforcement
SFC Launches Proceedings Against China Ding Yi Feng Manipulators
By Editors | 23/01/2020
On its first day of trading after a 10-month suspension, China Ding Yi Feng has lost 90% of its value, representing HKD 25 billion in lost market value.
Securities / Derivatives
SFC Offers Brokers, Fund Managers Guidance on Risk Governance
By Editors | 21/01/2020
Senior management, including the board, responsible officers and MICs will be held accountable for the overall risk management control of their firms.
Enforcement
Review Panel Offers Recommendations for Improving SFC Operations
By Editors | 17/01/2020
While welcoming the SFC’s front-loaded regulatory approach, the Process Review Panel says the regulator should be aware of its possible unintended effects and consider ways to minimise them.
ESG / Sustainability
Hong Kong, Thailand Set to Sign Cross-Border Funds Agreement
By Editors | 17/01/2020
Hong Kong’s SFC and Thailand’s SEC plan to sign a mutual recognition of funds agreement within the second quarter of this year.
ESG / Sustainability
HKMA Urges Family Offices to Set Up in Hong Kong
By Editors | 17/01/2020
The HKMA has been working to enhance Hong Kong’s competitiveness as a family office hub by developing talent, enhancing investment opportunities, and outreach.
Securities / Derivatives
Hong Kong, China Resume Discussions on ETF Connect
By Editors | 15/01/2020
SFC deputy chief executive Julia Leung has indicated that discussions with the CSRC have resumed to address the technical challenges of implementing an ETF Connect.
Enforcement
SFC Lifts UBS Underwriting Suspension Two Months Early
By Editors | 14/01/2020
The SFC is satisfied that UBS has adequate and effective systems, controls, policies and procedures to enable compliance with all requirements in relation to its sponsor business.
Securities / Derivatives
HKEX Asks Participants to Prepare Systems for Investor Compensation Levy
By Editors | 13/01/2020
While the collection of the investor compensation levy is currently suspended, exchange participants should take necessary actions to prepare for its calculation and payment.
Enforcement
HKEX Updates Rules for Southbound Investor Identification Regime
By Editors | 08/01/2020
The rule update requires the China broker to keep records of all submitted orders, SEHK trades and related client instructions for a minimum of 20 years.
Securities / Derivatives
SFC Provides Licensing Guidance for PE Firms, Family Offices
By Editors | 08/01/2020
The SFC has issued two circulars clarifying how licensing obligations apply to the activities of PE firms and family offices in Hong Kong.
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