Hong Kong
-
SFC Said Surveying Brokerages on Dark Pool Compliance
Samuel Riding, Regulation Asia July 19, 2016Dark pools comprised about 1.6% of Hong Kong securities market turnover last month.
-
HK Issues OTC Clearing Revisions
Samuel Riding, Regulation Asia July 15, 2016HKMA and SFC consultation conclusions add further proposed revisions.
-
HK Banks to Step up Failure Planning – Fitch
Samuel Riding, Regulation Asia July 8, 2016Rating agency notes Hong Kong is one of the few Asian jurisdictions to allow bail in.
-
Indian Auditor General Eyes Regulator’s Performance
Samuel Riding, Regulation Asia July 5, 2016Comptroller says performance audits would mitigate the risk of financial frauds.
-
HKEx to Introduce Closing Auction Session
Samuel Riding, Regulation Asia July 4, 2016Closing auction to be reintroduced third quarter to bring HKEx back in line with global peers.
-
Hong Kong Enacts Resolution Ordinance
Samuel Riding, Regulation Asia July 4, 2016Financial Institutions Ordinance establishes HKMA and SFC as resolution authorities.
-
SFC Ticks Off BAML for Disclosure Failings
Samuel Riding, Regulation Asia June 30, 2016Units publicly censured for breaching takeovers code regarding dealing in two stocks.
-
HKEX Squeezes Shorting Options
Samuel Riding, Regulation Asia June 28, 2016From 4 July, fewer stocks become eligible to be shorted following periodic review of criteria.
-
SFC Calls for Tougher Action on Structured Products
Samuel Riding, Regulation Asia June 27, 2016Regulator says SEHK should take ‘more severe regulatory action’ on active quote requirements.
-
Hong Kong Code of Conduct Breaches Surge
Samuel Riding, Regulation Asia June 23, 2016SFC Annual Report also reveals sharp rise in AML breaches.
Loading more posts...
Sorry, no more posts
No more pages to load
