Hong Kong

    Enforcement

    Hong Kong SFC Fines UBS HK$8m for Investor Classification Failures

    By Sanday Chongo Kabange | 21/10/2025

    The penalty relates to a 12-year systems failure that led to securities lending and the sale of complex products to ineligible clients.

    ESG / Sustainability

    Hong Kong, Malaysia Adopt Global Sustainability Ethics Rules

    By Manesh Samtani | 21/10/2025

    The jurisdictions are implementing IESBA standards for sustainability reporting and assurance, with regulators set to establish formal oversight frameworks for all practitioners.

    Capital / Liquidity

    Hong Kong Designates AIA, Prudential as Systemically Important Insurers

    By Editors | 20/10/2025

    The Insurance Authority has rolled out a new framework, subjecting the firms to enhanced supervision and resolution planning requirements.

    AML / KYC

    HK & Mainland Police Arrest Three for Face Spoofing and Money Laundering

    By Sanday Chongo Kabange | 17/10/2025

    The three members of a cross-border syndicate allegedly used pre-recorded videos to bypass facial recognition systems at digital banks.

    Fintech / Regtech

    FSB, IOSCO Find ‘Uneven’ Global Implementation of Crypto Regulations

    By Manesh Samtani | 16/10/2025

    Reports from the FSB and IOSCO find inconsistent crypto rule implementation, creating arbitrage risks and complicating cross-border oversight of firms.

    Enforcement

    Hong Kong AFRC Fines PwC, Two Auditors Over Deficient Audits

    By Sanday Chongo Kabange | 16/10/2025

    The AFRC says the sanctions relate to multiple, pervasive audit deficiencies in the 2010 and 2011 audits of Hong Kong-listed Dynasty Fine Wines Group Limited.

    Securities / Derivatives

    ISDA Urges Hong Kong SFC to Reconsider Capital Rules

    By Manesh Samtani | 16/10/2025

    ISDA called for key amendments to Hong Kong's proposed capital framework, citing the need for pragmatism and alignment.

    Sanctions

    UK Sanctions Russian Oil Giants, Indian and Chinese Firms

    By Manesh Samtani | 16/10/2025

    A package of 90 new sanctions hits Rosneft, Lukoil, India's Nayara Energy and Chinese terminals in a bid to choke off Russian war funds.

    Securities / Derivatives

    HKEX Clearing Arm Invites Firms to Join 'Authorised Brokers' Panel

    By Sanday Chongo Kabange | 16/10/2025

    HKSCC is selecting up to 10 firms for a three-year term to execute transactions on its behalf. Applicants must have at least HKD 100 million in liquid capital and China Connect capabilities.

    Fintech / Regtech

    HKMA Announces Second Cohort of GenAI Sandbox Participants

    By Sanday Chongo Kabange | 16/10/2025

    The cohort includes 27 use cases from 20 banks, with a focus on AI governance and using AI to test systems against sophisticated fraud.

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