Securities / Derivatives

Securities / Derivatives

MAS Publishes New Compliance Toolkit for CMS Licensees

By Editors | 31/03/2022

The toolkit is applicable to CMS licensees that deal in capital markets products, advise on corporate finance, or provide product financing, custodial services or credit rating services.

Securities / Derivatives

Korea FSS Seeks Stronger Audit Regulations to Prevent Fraud

By Sanday Chongo Kabange | 31/03/2022

The FSS will examine 180 companies and 17 audit firms this year, while also enhancing its audit screening exercises and strengthening punitive sanctions.

Enforcement

CSRC Revokes Licences of Two Investment Consulting Firms

By Editors | 31/03/2022

The two well-established securities investment consulting firms were found to have disseminated false or misleading information to investors.

Securities / Derivatives

HKEX Enhances Third Party Clearing Arrangement for HKFE Contracts

By Editors | 31/03/2022

As of Monday, non-clearing participants can appoint more than one general clearing participant to clear and settle HKFE contracts.

ESG / Sustainability

Hong Kong to Develop VCM, Unify GBA Carbon Market

By Manesh Samtani | 31/03/2022

Hong Kong’s VCM will target local, Mainland and overseas buyers of carbon credits. Authorities will also work to establish a unified carbon market for the GBA.

Securities / Derivatives

HKMA Updates Trade Reporting Specifications for OTC Derivatives

By Editors | 30/03/2022

A revised Administration and Interface Development Guide will take effect from 19 December 2022, taking into account pandemic-related operational challenges.

Crypto / Digital Assets

HKEX Sets Out Vision to Build ‘Marketplace of the Future’

By Sanday Chongo Kabange | 30/03/2022

HKEX will introduce a new platform for ESG-related products, ETF connect schemes with the mainland, more yuan products, and more listing reforms.

Fintech / Regtech

Huobi Seeks to Launch Retail Crypto ETF in HK

By Manesh Samtani | 30/03/2022

Huobi Tech has structured the ETF so that it won’t be restricted to just professional investors, possibly through the use of crypto futures listed on overseas exchanges.

Sanctions

New Manager Announced for Hong Kong Tracker Fund

By Manesh Samtani | 29/03/2022

Hang Seng Investment Management will become TraHK’s new manager in Q3 2022, replacing State Street, which has managed the ETF for 22 years.