Hong Kong
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HK Tribunal Tells Short Seller to Repay $200,000
Samuel Riding October 20, 2016Citron’s Andrew Left also banned from trading in Hong Kong for five years, vows appeal.
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HK’s SFC Reprimands, Fines Forex Service $500,000
Samuel Riding October 20, 2016SFC concludes HK FXCM did not treat clients fairly or have proper controls, policies.
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SFC Reminds on Sudan, DRC Sanctions
Samuel Riding October 17, 2016Regulator also asks corporations and entities to conduct AML compliance checks.
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Up at Night – Hong Kong’s Most Pressing Regulatory Issues
Wolters Kluwer Financial Services October 14, 2016Speakers at recent Institute of Bankers conference discuss cybersecurity, AML/CTF, and more.
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HK Launches Brokerage Cybersecurity Review
Samuel Riding October 14, 2016SFC says compromised or unauthorised transactions amounted to $12.89mn.
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SFC Clarifies Broker Requirements
Samuel Riding October 3, 2016Clarification follows unusual step of public warning on internal AML controls.
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HKEX Issues SZ-HK Stock Connect Rules
Samuel Riding September 29, 2016Information book, SEHK rules and FAQs amended.
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SFC Urges Brokers to Enhance AML Controls
Samuel Riding September 22, 2016Licensees are vulnerable on being used to launder money and finance terrorism, regulator says.
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SFC Proposes Higher Position Limits
Samuel Riding September 21, 2016Cap on excess position limit could be increased 6-fold; 3-tier statutory position limit proposed.
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HKMA to Add Cybersecurity, AML to Competency Framework
Samuel Riding September 21, 2016Measures are part of efforts to boost Hong Kong’s competitiveness as a fintech hub.
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