Hong Kong
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HK Regulators Warn on Conflicts of Interest in Product Sales
Editors, Regulation Asia November 27, 2017HKMA, SFC say some intermediaries aren’t revealing related counterparties, not executing at best price, hide cheaper products.
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HKMA Chief Urges Hong Kong Companies to Improve Corporate Governance
Garima Chitkara November 23, 2017Hong Kong financial companies need further improvements to guard against risky behaviour.
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HSBC Private Bank Fined $50mn for Crisis-era Product Mis-selling
Editors, Regulation Asia November 23, 2017Securities and Futures Appeals Tribunal says future fines will be similarly large and exceed ‘mere cost of doing business’.
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1.9KThe Challenges for Offshore Banks Onboarding China’s HNWIs
Appway November 20, 2017Digital onboarding can help banks provide a superior customer experience, guarantee AML compliance and improve internal efficiency.
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Hong Kong to Continue to Allow Mutual Fund Sales Commissions
Editors, Regulation Asia November 20, 2017Securities and Futures Commission says Hong Kong is not ready to ban commissions and introduce a pay for advice model.
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HK Court Confirms SFC Authority in Insider Trading Conducted Overseas
Samuel Riding November 13, 2017Court also rules a person’s lack of awareness they are trading on inside information doesn't mean they don't have to pay back illicit gains.
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Hong Kong Sets out Internal Audit Requirements for Authorised Institutions
Editors, Regulation Asia November 2, 2017HKMA says audit functions must be separate from risk and compliance; will only allow outsourcing ‘under very limited circumstances’.
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HK SFC Launches Thematic Review of Prime Brokerage, Equity Derivatives
Editors, Regulation Asia November 1, 2017Regulator says prime brokerage a growing revenue stream for institutions as Hong Kong’s asset management, hedge fund sectors expand.
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Hong Kong Dual-class Listings Not Quite a Brave New World
Peter Guy, Regulation Asia October 30, 2017Abandoning plans for third board and allowing main board dual-class shares do nothing to support start-ups or attempts to reinvent HK economy.
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HK Brokers Face Cost Squeeze from Cybersecurity Guidelines
JP Reimann October 30, 2017Brokers will be required to use 2FA for client log-ins; implement raft of new measures including management responsibility, stress tests.
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