Hong Kong
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HK, UK Sign Fintech Agreement
Samuel Riding, Regulation Asia December 8, 2016Regulators will collaborate on ‘experience sharing’, information exchange.
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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.
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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.
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HK to Introduce Key Manager Regime
Samuel Riding, Regulation Asia November 30, 2016Registration set to include ‘hundreds of executives in support functions’.
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HK Regulators to Brief on OTC Derivatives Reporting
Samuel Riding, Regulation Asia November 29, 2016Sessions aim to brief firms on their obligations before 1 July 2017 implementation.
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HK Regulator to Tighten Asset Manager Rules
Samuel Riding, Regulation Asia November 24, 2016Proposals aim to align HK with international standards; protect investors and market integrity.
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HK Launches Resolution Consultation
Samuel Riding, Regulation Asia November 23, 2016Rules aim to impose ‘suitably tailored constraints’ on resolution authorities.
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HKMA Eases Internet Banking Rules
Samuel Riding, Regulation Asia November 21, 2016Increased transaction limit comes with warning on controls and customer education.
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JPMorgan Paying $264mn to Settle ‘Princelings’ Case
Samuel Riding, Regulation Asia November 18, 2016US SEC says hiring of interns and other staff in Asia breached corruption act.
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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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