Hong Kong
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HKMA Issues AML/CTF Competency Framework
Samuel Riding December 14, 2016Enrolment in courses run by Hong Kong Institute of Bankers begins in April 2017.
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Hong Kong SFC Cites Algo Trading Risk Mitigation Weaknesses
Samuel Riding December 14, 2016Findings include insufficient management and control personnel involvement in governance.
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20 ‘HK DBS Staff’ Arrested in Data Leak Investigation
Samuel Riding December 12, 2016Staff alleged to have bribed managers to obtain customer data and sell high-interest loans.
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HK SFC Fined Firms $3.33mn in 1H16
Samuel Riding December 9, 2016Disciplinary actions up 67%; civil proceedings rise 23%; completed investigations increase by 24%.
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HK, UK Sign Fintech Agreement
Samuel Riding December 8, 2016Regulators will collaborate on ‘experience sharing’, information exchange.
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HK, Switzerland Agree Mutual Recognition of Funds
Samuel Riding December 5, 2016Agreement to allow cross-border sales includes rules on equal treatment of investors.
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SFC Mandates Online Submission of Licensee Documentation
Samuel Riding November 30, 2016Paper filing by individual applicants and licensees will not be allowed from 1 February 2017.
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HK to Introduce Key Manager Regime
Samuel Riding November 30, 2016Registration set to include ‘hundreds of executives in support functions’.
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HK Regulators to Brief on OTC Derivatives Reporting
Samuel Riding November 29, 2016Sessions aim to brief firms on their obligations before 1 July 2017 implementation.
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HK Regulator to Tighten Asset Manager Rules
Samuel Riding November 24, 2016Proposals aim to align HK with international standards; protect investors and market integrity.
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