Hong Kong
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US Regulator Fines HSBC $33mn
Samuel Riding, Regulation Asia January 11, 2017Office of the Comptroller says bank failed to fix deficiencies in time.
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SFC Bans Ex-Citibank Staff for Tampering with Client Signature
Samuel Riding, Regulation Asia January 6, 2017Regulator says former employee attempted to deceive bank on client application.
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HK SFC Reprimands, Fines MIS Services $0.4mn
Samuel Riding, Regulation Asia January 4, 2017MIS Services, formerly Standard Chartered Investment Services, said non-compliant with MPF Code and Code of Conduct.
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HK Unauthorised Mortgage Alert System Goes Live
Samuel Riding, Regulation Asia January 4, 2017Land Registry will alert banks when documents are registered.
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HK SFC Bans Ex HSBC Broker
Samuel Riding, Regulation Asia January 3, 2017Investigation finds Lam Yuk Wai performed unauthorised transactions and deceived clients.
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HKEX to Introduce Derivatives VCM on 16 January
Samuel Riding, Regulation Asia January 3, 2017Volatility control mechanism was originally to be introduced on 14 November 2017.
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HK Gov’t Gazettes New Disclosure Requirements
Samuel Riding, Regulation Asia January 3, 2017Amendments also introduce some exemptions from existing requirements.
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HK SFC Clarifies Product Suitability Requirements
Samuel Riding, Regulation Asia December 28, 2016Advertisements, research reports may not trigger obligations if no direct communication with client.
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Hong Kong – 2016 in Review
Samuel Riding, Regulation Asia December 22, 2016Enforcement the major order of the year for Hong Kong regulators.
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HKMA Implements Cybersecurity Programme
Samuel Riding, Regulation Asia December 22, 2016Hong Kong banking industry can soon access Cyber Intelligence Sharing Platform
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