Hong Kong
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HK Counts Down to MiC Regime
Samuel Riding, Regulation Asia April 6, 2017SFC publishes revised reporting forms for licensed corporations just over two weeks from start of new regime.
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Merrill Lynch Units’ $1.9mn Fine Could Have Been Much Larger – HK SFC
Samuel Riding, Regulation Asia March 27, 2017One unit advised on futures contracts for more than 10 years without the required license.
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HKEX Subsidiary Launches OTC Client Clearing
Samuel Riding, Regulation Asia March 22, 2017OTC Clear can also accept some types of non-cash collateral.
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HK SFC Fines Brokerage $335,000 for 300 AML Failures
Samuel Riding, Regulation Asia March 15, 2017Zhongtai International breached AML/CTF Ordinance, Code of Conduct and SFC guidance.
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Red Flags in HK Managers in Charge Regime
Samuel Riding, Regulation Asia March 9, 2017July deadline looming large over financial institutions and their service providers.
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HK SFC Fines Securities Firm for AML Breaches
Samuel Riding, Regulation Asia March 7, 2017Firm breached 3 regulations including SFC Code of Conduct.
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HK Expands Fund Disclosure Requirements
Samuel Riding, Regulation Asia March 6, 2017All authorised funds must now disclose ongoing charges, past performance.
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HKMA Sets out Culture Requirements
Samuel Riding, Regulation Asia March 3, 2017Banks should set up or expand board-level committees to tackle the issue.
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HK to Expand Professional Investor Qualification
Samuel Riding, Regulation Asia March 2, 2017Joint accounts and existing investments to be counted towards qualification amount.
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HK Regulatory, Compliance Demand Steady
Samuel Riding, Regulation Asia March 1, 2017Morgan McKinley report says cybersecurity among the strongest areas of demand.
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