Hong Kong
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HK Gov’t Gazettes New Disclosure Requirements
Samuel Riding January 3, 2017Amendments also introduce some exemptions from existing requirements.
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HK SFC Clarifies Product Suitability Requirements
Samuel Riding December 28, 2016Advertisements, research reports may not trigger obligations if no direct communication with client.
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Hong Kong – 2016 in Review
Samuel Riding December 22, 2016Enforcement the major order of the year for Hong Kong regulators.
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HKMA Implements Cybersecurity Programme
Samuel Riding December 22, 2016Hong Kong banking industry can soon access Cyber Intelligence Sharing Platform
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Hong Kong Trials Short Position Reporting Rules
Samuel Riding December 21, 2016New requirements due to come into effect on March 15.
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HKMA Develops Enhanced Cybersecurity Competency Framework
Samuel Riding December 20, 2016Framework including continuing professional development to foster cybersecurity talent ..
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HK SFC Asks Brokerage to Freeze Client Account
Samuel Riding December 19, 2016Regulator says client account is suspected of being involved in market manipulation, account hacking.
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HK SFC Issues Management Accountability Rules
Samuel Riding December 19, 2016Proposals cover eight main functions including compliance and AML/CTF.
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SFC Revokes Securities Firm License for ‘Egregious Conduct’
Samuel Riding December 16, 2016Officers banned from the industry for using client money for personal use.
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HKMA Issues Governance Guidelines
Samuel Riding December 15, 2016Systemically important institutions should set up risk, nomination and remuneration committees.
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