Hong Kong
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HK Regulator Reprimands, Fines Deutsche Bank for Regulatory Breaches
Editors, Regulation Asia May 23, 2014The Securities and Futures Commission (SFC) has reprimanded and fined Deutsche Bank HK$1.6 million for regulatory breaches and internal control failings.
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Hong Kong Regulator Reprimands Citigroup on Algorithm Error
Editors, Regulation Asia May 15, 2014The Securities and Futures Commission (SFC) has reprimanded Citigroup Global Markets Asia Limited (Citigroup) for failing to ensure its algorithmic trading systems functioned property for certain securities orders between April 2009 and May 2010.
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Hong Kong’s HKEx Sponsor Regime Curbs Vetting for Listing Application
Editors, Regulation Asia May 15, 2014Hong Kong Exchanges and Clearing’s new sponsor regime for listing applicants has been working well, curbing vetting time for applicants and improving quality of applications.
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Hong Kong, US Conclude Talks on Tax Agreement
Editors, Regulation Asia May 13, 2014Hong Kong and the United States have concluded discussions on an inter-governmental agreement that will facilitate Hong Kong financial institutions' compliance with the US Foreign Account Tax Compliance Act.
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Hong Kong’s HKEx Gets Approval for US OTC Clearing
Editors, Regulation Asia May 12, 2014Hong Kong Exchanges and Clearing (HKEx) has received approval from the US Commodity Futures Trading Commission (CFTC) to clear over-the-counter derivatives for US clients.
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Hong Kong Regulator Outlines Crowd-funding Risks, Regulatory Issues
Editors, Regulation Asia May 9, 2014Crowd-funding that allows people to raise money for loans, causes, or projects through the web pose potential regulatory compliance issues and other investment risks.
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IMF Warns of Hong Kong Banks’ Soaring Credit Exposure to China
Editors, Regulation Asia May 8, 2014The International Monetary Fund has warned of Hong Kong banks' rising exposure to mainland debt.
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RBS Fined HK$6m Over Illegal Emerging Markets Trades
Editors, Regulation Asia April 23, 2014The Royal Bank of Scotland (RBS) has been fined HK$6 million for internal control failures relating to the detection and prevention of unauthorized trading activities.
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HKEx Plans to Launch Thermal, Metals Futures This Year
Editors, Regulation Asia April 23, 2014Hong Kong Exchanges and Clearing will offer renminbi-denominated futures for zinc, copper and nickel, under plans to expand its commodities trading this year.
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Hong Kong Prepares Sukuk Issuance
Editors, Regulation Asia April 15, 2014Hong Kong is ready for Islamic bonds following the establishment of a tax framework that supports sukuk issuance, and as the government further develops a market for such bonds in the territory with the debut of a government sukuk.
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