Hong Kong
-
HK SFC Issues Management Accountability Rules
Samuel Riding, Regulation Asia December 19, 2016Proposals cover eight main functions including compliance and AML/CTF.
-
SFC Revokes Securities Firm License for ‘Egregious Conduct’
Samuel Riding, Regulation Asia December 16, 2016Officers banned from the industry for using client money for personal use.
-
HKMA Issues Governance Guidelines
Samuel Riding, Regulation Asia December 15, 2016Systemically important institutions should set up risk, nomination and remuneration committees.
-
HKMA Issues AML/CTF Competency Framework
Samuel Riding, Regulation Asia December 14, 2016Enrolment in courses run by Hong Kong Institute of Bankers begins in April 2017.
-
Hong Kong SFC Cites Algo Trading Risk Mitigation Weaknesses
Samuel Riding, Regulation Asia December 14, 2016Findings include insufficient management and control personnel involvement in governance.
-
20 ‘HK DBS Staff’ Arrested in Data Leak Investigation
Samuel Riding, Regulation Asia December 12, 2016Staff alleged to have bribed managers to obtain customer data and sell high-interest loans.
-
HK SFC Fined Firms $3.33mn in 1H16
Samuel Riding, Regulation Asia December 9, 2016Disciplinary actions up 67%; civil proceedings rise 23%; completed investigations increase by 24%.
-
HK, UK Sign Fintech Agreement
Samuel Riding, Regulation Asia December 8, 2016Regulators will collaborate on ‘experience sharing’, information exchange.
-
HK, Switzerland Agree Mutual Recognition of Funds
Samuel Riding, Regulation Asia December 5, 2016Agreement to allow cross-border sales includes rules on equal treatment of investors.
-
SFC Mandates Online Submission of Licensee Documentation
Samuel Riding, Regulation Asia November 30, 2016Paper filing by individual applicants and licensees will not be allowed from 1 February 2017.
Loading more posts...
Sorry, no more posts
No more pages to load
