HONG KONG

Market Infrastructure

HK SFC Eyes ‘Unusual Volatility’ on GEM

By Samuel Riding | 23/01/2017

New guidelines aim to address ‘unusual high volatility’ on listed GEM securities.

Market Infrastructure

SEBI Issues Commodity Derivatives Proposals

By Samuel Riding | 20/01/2017

Proposal covers options using commodity futures contracts, settlement.

AML / KYC

HK, US Regulators Agree Cross-Border Monitoring

By Samuel Riding | 20/01/2017

Agreement covers cooperation on license exemptions and on-site visits for financial infrastructures and firms.

HK Firms Appointing Juniors as Responsible Officers – SFC

By Samuel Riding | 20/01/2017

Executive director for intermediaries defends Manager-in-Charge regime.

HK SFC Sues StanChart, UBS for IPO ‘Misconduct’

By Samuel Riding | 18/01/2017

Case relates to timber company now in liquidation, delisting due to accounting irregularities.

Market Infrastructure

HK Rolls Out Derivatives VCM

By Samuel Riding | 17/01/2017

Mechanism aims to prevent extreme price volatility in derivatives market.

HK Court Rejects Citron Appeal

By Samuel Riding | 16/01/2017

Court says Left’s application to appeal not on time, would not have succeeded anyway.

Market Infrastructure

HKMA Ends Trade Repository Fee Cap

By Samuel Riding | 16/01/2017

Move aims to recover costs of daily services from participants.

‘Reg A+’ Answers Hong Kong’s Start-up Needs

By Peter Guy | 16/01/2017

Rather than starting a third board, HKEX should explore creative ideas for private placements.