Hong Kong
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HK SFC Bans Ex-Deutsche Securities Trader
Samuel Riding, Regulation Asia November 18, 2016Ban follows Korean order to repay $36.95mn of illegal profit from stock index trades.
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Cyber Security – Lessons from Hong Kong
Samuel Riding, Regulation Asia November 16, 2016HKMA sets a baseline for cyber-resilience but more harmonisation is needed.
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HKMA Repeats N.Korea, Iran Warnings
Samuel Riding, Regulation Asia November 16, 2016FATF plenary has said N.Korea is failing to address illicit funding, proliferation.
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Beware Blockchain – HKMA
Samuel Riding, Regulation Asia November 14, 2016Digital platforms seen as potential channel for illicit financing; could compromise data security.
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HK SFC Warns on Stock Connect Risk
Samuel Riding, Regulation Asia November 14, 2016Regulator calls for system enhancement due to expected increase in trading volume.
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HKEX Delays Derivatives VCM
Samuel Riding, Regulation Asia November 14, 2016Regulator cites potential technical issue uncovered during final preparations.
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HK Regulators Publish AML/CTF Training Course
Samuel Riding, Regulation Asia November 11, 2016Materials can be used as a reference and for internal training.
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HK SFC Forms Specialist Teams for Key Risk Areas
Samuel Riding, Regulation Asia November 10, 2016Temporary teams will cover IPO misconduct, misconduct on GEM; AML/KYC, and mis-selling.
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Rise in Complaints Warrants HK IPO Reform – SFC
Samuel Riding, Regulation Asia November 9, 2016Proposed listing reforms will enhance SFC’s transparency, accountability and efficiency, CEO says.
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HKEX – Compromising Regulation to Win Business?
Peter Guy, Regulation Asia November 7, 2016Exchange faces critical decisions on regulatory development as it chases all important technology listings.
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