Hong Kong
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HK SFC Sues StanChart, UBS for IPO ‘Misconduct’
Samuel Riding January 18, 2017Case relates to timber company now in liquidation, delisting due to accounting irregularities.
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HK Rolls Out Derivatives VCM
Samuel Riding January 17, 2017Mechanism aims to prevent extreme price volatility in derivatives market.
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HK Court Rejects Citron Appeal
Samuel Riding January 16, 2017Court says Left’s application to appeal not on time, would not have succeeded anyway.
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HKMA Ends Trade Repository Fee Cap
Samuel Riding January 16, 2017Move aims to recover costs of daily services from participants.
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‘Reg A+’ Answers Hong Kong’s Start-up Needs
Peter Guy, Regulation Asia January 16, 2017Rather than starting a third board, HKEX should explore creative ideas for private placements.
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HK Aligns Bank Self-assessment with Revised Practice Code
Samuel Riding January 13, 2017New requirements include some AI subsidiaries, affiliates in self-assessment.
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HKMA Issues Operational Incidents Watch
Samuel Riding January 13, 2017Regulator flags errors in OTC derivatives transactions, credit card applications.
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US Regulator Fines HSBC $33mn
Samuel Riding 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 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 January 4, 2017MIS Services, formerly Standard Chartered Investment Services, said non-compliant with MPF Code and Code of Conduct.
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