HONG KONG

HK SFC Bans Ex-Deutsche Securities Trader

By Samuel Riding | 18/11/2016

Ban follows Korean order to repay $36.95mn of illegal profit from stock index trades.

Cyber Security – Lessons from Hong Kong

By Samuel Riding | 16/11/2016

HKMA sets a baseline for cyber-resilience but more harmonisation is needed.

AML / KYC

HKMA Repeats N.Korea, Iran Warnings

By Samuel Riding | 16/11/2016

FATF plenary has said N.Korea is failing to address illicit funding, proliferation.

AML / KYC

Beware Blockchain – HKMA

By Samuel Riding | 14/11/2016

Digital platforms seen as potential channel for illicit financing; could compromise data security.

Market Infrastructure

HK SFC Warns on Stock Connect Risk

By Samuel Riding | 14/11/2016

Regulator calls for system enhancement due to expected increase in trading volume.

Market Infrastructure

HKEX Delays Derivatives VCM

By Samuel Riding | 14/11/2016

Regulator cites potential technical issue uncovered during final preparations.

AML / KYC

HK Regulators Publish AML/CTF Training Course

By Samuel Riding | 11/11/2016

Materials can be used as a reference and for internal training.

AML / KYC

HK SFC Forms Specialist Teams for Key Risk Areas

By Samuel Riding | 10/11/2016

Temporary teams will cover IPO misconduct, misconduct on GEM; AML/KYC, and mis-selling.

Market Infrastructure

Rise in Complaints Warrants HK IPO Reform – SFC

By Samuel Riding | 09/11/2016

Proposed listing reforms will enhance SFC’s transparency, accountability and efficiency, CEO says.