Hong Kong
-
HK Launches Best Execution Review
Samuel Riding, Regulation Asia November 7, 2016Securities regulator to conduct on-site inspections, benchmark vs other regulators.
-
Former UOB Rep Banned Over $6.48mn Trading Loss
Samuel Riding, Regulation Asia November 3, 2016Former representative said to have breached Code of Conduct; banned for 10 years.
-
HK FIs Exclude Up to 25% of Potential Customers Due to Compliance
Samuel Riding, Regulation Asia November 2, 2016Lexis Nexis survey suggests KYC data sharing could help institutions’ meet financial inclusion goals.
-
Hong Kong Suspicious Transaction Reports Surge
Samuel Riding, Regulation Asia November 2, 2016Joint Financial Intelligence Unit received nearly 60,000 reports in 1st nine months of 2016.
-
Standard Chartered Involved in HK IPO Probe
Samuel Riding, Regulation Asia November 2, 2016Bank warns of ‘financial consequences’ if regulator takes action.
-
HKMA Revamps OTC Reporting Interface
Samuel Riding, Regulation Asia November 1, 2016Changes include modified data fields, description, and enumerated values for mandatory reporting.
-
HK Regulator Revokes Asset Management Licences
Samuel Riding, Regulation Asia November 1, 2016Company owner’s licence is revoked; banned for 10 years for abuse of clients’ trust.
-
HK SFC Probes UBS on IPO Sponsorships
Samuel Riding, Regulation Asia October 31, 2016Swiss bank could face fines or temporary suspension of advisory services.
-
Hong Kong to Launch E-Alerts for Unauthorised Mortgages
Samuel Riding, Regulation Asia October 27, 2016AIs are expected to participate in the service unless they have ‘equally effective’ arrangements.
-
HK SFC Amends Account Opening Rules
Samuel Riding, Regulation Asia October 25, 2016Regulator says Code of Conduct requirements are at par with international standards, adds some measures.
Loading more posts...
Sorry, no more posts
No more pages to load
