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Securities / Derivatives
HKEX to Launch of New Options on Futures Contracts
By Editors | 12/08/2021
Before offering OOF products to clients, participants should ensure system readiness and that end clients understand the settlement mechanism and risk involved.
AML / KYC
HKMA Issues “Mandate” for Innovation in AML/CFT
By Manesh Samtani | 12/08/2021
The HKMA will launch interactive lab sessions to experiment with new technologies and emerging data analytics techniques, with an initial focus on network analytics and NLP.
AML / KYC
SFC Finalises Investor ID, OTC Securities Reporting Regimes
By Manesh Samtani | 11/08/2021
The investor identification regime is expected to be launched in H2 2022. The securities transactions reporting regime will go live in H1 2023.
Enforcement
Former HKEX Exec Pleads Not Guilty to Corruption Charges
By Editors | 11/08/2021
The former co-head of HKEX’s IPO-vetting team, Eugene Yeoh, was arrested in June 2019 for alleged bribery and misconduct in public office.
Securities / Derivatives
Hong Kong ICAC Charges Securities Brokers for Bribery
By Editors | 08/08/2021
Two securities brokers accepted commissions to arrange for their clients to use a futures trading programme provided by a software company.
Securities / Derivatives
Deutsche Bank Set to Regain Ability to Sponsor HK IPOs
By Ranamita Chakraborty | 05/08/2021
Deutsche Bank has reportedly secured two senior hires who will be able to act as IPO principals, subject to regulatory approval.
AML / KYC
Crypto Crime Reaches Record Levels in Hong Kong
By Editors | 04/08/2021
Victims lost HK$214m in cryptocurrency crimes in the first half of 2021, compared to HK$114.4mn across all of 2020.
Enforcement
Hong Kong SFC Fines UBS Over Regulatory Breaches
By Editors | 03/08/2021
The breaches involve research report disclosures, telephone recordings, client derivatives knowledge assessments, and structured product sales.
Market Infrastructure
China, Hong Kong to Strengthen Legal, Judicial Cooperation
By Editors | 02/08/2021
China and Hong Kong will promote mutual recognition and assistance in bankruptcy procedures. Mainland judicial practice training will be arranged for Hong Kong legal professionals.
Sanctions
State Street Updates TraHK Prospectus as US Sanctions Take Effect
By Sanday Chongo Kabange | 01/08/2021
In an addendum, State Street says TraHK units will not be offered or sold in the US or to US persons located outside the US.
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