Hong Kong
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HK SFC Launches Thematic Review of Prime Brokerage, Equity Derivatives
Editors, Regulation Asia November 1, 2017Regulator says prime brokerage a growing revenue stream for institutions as Hong Kong’s asset management, hedge fund sectors expand.
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Hong Kong Dual-class Listings Not Quite a Brave New World
Peter Guy, Regulation Asia October 30, 2017Abandoning plans for third board and allowing main board dual-class shares do nothing to support start-ups or attempts to reinvent HK economy.
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HK Brokers Face Cost Squeeze from Cybersecurity Guidelines
JP Reimann October 30, 2017Brokers will be required to use 2FA for client log-ins; implement raft of new measures including management responsibility, stress tests.
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Guangdong, HK to Boost Financial Cooperation
Editors, Regulation Asia October 30, 2017Governments to relax restrictions on cross-border business operations and boost RMB flows; cooperate further on fintech and green finance.
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Old Rivals Hong Kong, Singapore Launch Fintech Tie-up
Editors, Regulation Asia October 26, 2017Decision to work together on distributed ledger, other fintech initiatives belie reputed rivalry between two financial centres.
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Hong Kong Extends After-hours Index Futures Trading
Editors, Regulation Asia October 23, 2017From 6 November, trading in mini and full versions of HSI and HSCEI index futures will be extended to 1am Hong Kong time.
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10,000 Individuals Register Under Hong Kong MIC Regime
Editors, Regulation Asia October 19, 2017About 40% of individuals to have registered under MIC so far are unlicensed as they are in charge of operations or control functions, SFC says.
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HK Legco to Consider Recovery Planning, Large Exposures Bill
Editors, Regulation Asia October 19, 2017Banking Ordinance already includes resolution, but not recovery, requirements; HKMA to retain ‘general power’ on exposure limits.
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HK SFC Investigating 15 IPO Sponsors for ‘Substandard’ Work
Samuel Riding October 12, 2017Head of enforcement says the IPO sponsors may have failed to verify data, opening the door to fraud by the listing companies.
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FIs No Longer Have to Verify Client Addresses for AML/CTF – HKMA
Editors, Regulation Asia October 12, 2017AML/CTF regulations to be changed; banking regulator says any current absence of address verification will be seen as justified.
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