Securities / Derivatives

Enforcement

CSRC Revokes Licences of Two Investment Consulting Firms

By Editors | 31/03/2022

The two well-established securities investment consulting firms were found to have disseminated false or misleading information to investors.

Securities / Derivatives

HKEX Enhances Third Party Clearing Arrangement for HKFE Contracts

By Editors | 31/03/2022

As of Monday, non-clearing participants can appoint more than one general clearing participant to clear and settle HKFE contracts.

ESG / Sustainability

Hong Kong to Develop VCM, Unify GBA Carbon Market

By Manesh Samtani | 31/03/2022

Hong Kong’s VCM will target local, Mainland and overseas buyers of carbon credits. Authorities will also work to establish a unified carbon market for the GBA.

Securities / Derivatives

HKMA Updates Trade Reporting Specifications for OTC Derivatives

By Editors | 30/03/2022

A revised Administration and Interface Development Guide will take effect from 19 December 2022, taking into account pandemic-related operational challenges.

Crypto / Digital Assets

HKEX Sets Out Vision to Build ‘Marketplace of the Future’

By Sanday Chongo Kabange | 30/03/2022

HKEX will introduce a new platform for ESG-related products, ETF connect schemes with the mainland, more yuan products, and more listing reforms.

Fintech / Regtech

Huobi Seeks to Launch Retail Crypto ETF in HK

By Manesh Samtani | 30/03/2022

Huobi Tech has structured the ETF so that it won’t be restricted to just professional investors, possibly through the use of crypto futures listed on overseas exchanges.

Sanctions

New Manager Announced for Hong Kong Tracker Fund

By Manesh Samtani | 29/03/2022

Hang Seng Investment Management will become TraHK’s new manager in Q3 2022, replacing State Street, which has managed the ETF for 22 years.

Securities / Derivatives

TWSE Probes Foreign Securities Firms Over Research Reports

By Darien Choong | 29/03/2022

There have been rumours that foreign securities firms have been selling off stocks before they achieve the target prices specified in published research reports.

Enforcement

SFC Bans BNP Representative for Unauthorised Discretionary Trading

By Editors | 29/03/2022

The relationship manager asked clients to pre-sign blank instruction forms so he could place trades for their accounts without having to inform them in advance.