Hong Kong
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Nomura Hong Kong Fined for Disclosure Failings
Editors, Regulation Asia July 31, 2015SFC fines Nomura Hong Kong HK$4.5 million for failing to promptly report trading misconduct by one of its traders.
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SFC Consults on Proposes Changes to Financial Resources Rules
Editors, Regulation Asia July 21, 2015The Securities and Futures Commission has released a consultation paper on proposed changes to the Securities and Futures (Financial Resources) Rules relating to capital and other prudential requirements for licensed corporations engaged in over-the-counter derivatives activity.
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Hong Kong OTC Derivatives Reporting Regime to Take Effect July 10
Editors, Regulation Asia June 29, 2015The HKMA advises all licensed banks to follow its guidance to ensure a smooth transition in the upcoming migration to the new OTC derivatives reporting regime.
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SFC Opposes HKEx on Weighted Voting Rights for Hong Kong Stocks
Editors, Regulation Asia June 26, 2015The Securities and Futures Commission has issued a statement announcing it does not support allowing weighted voting rights structures in companies listed in Hong Kong.
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Operating Hours of Yuan Liquidity Facility Extended by HKMA
Editors, Regulation Asia June 24, 2015The Hong Kong Monetary Authority announced that it will extend the operating hours of the intraday repo under the Renminbi Liquidity Facility from July 20.
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HKEx Commodity Connect Scheme Faces Obstacles
Editors, Regulation Asia June 24, 2015HKEx chances of duplicating in metals its success in connecting with stock traders on the mainland may be diminishing.
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HKEx to Revive Closing Auction System, Impose Volatility Controls
Editors, Regulation Asia June 24, 2015The Hong Kong Exchanges and Clearing board has approved two major reforms to regulate stock price movements to be implemented next year.
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Hong Kong Brokers to Directly Access London Stock Exchange
Editors, Regulation Asia June 16, 2015The Securities and Futures Commission (SFC) has granted a licence to the London Stock Exchange (LSE) to accept Hong Kong financial firms as exchange members.
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Hong Kong Extends Tax Exemption for Offshore Funds
Editors, Regulation Asia June 13, 2015The Hong Kong Government has extended its offshore funds tax exemption, allowing investments in private companies to qualify and loosening other restrictions.
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SFC Proposes Legislative Change to Increase Cross-Border Regulatory Assistance
Editors, Regulation Asia June 5, 2015The SFC is proposing legislative amendments which would give it discretion to provide supervisory assistance to regulators outside Hong Kong.
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