Hong Kong

Market Infrastructure

SFC Fund Manager Code of Conduct Compliance Checklist

By Derek McGibney | 11/10/2018

With the SFC’s FMCC compliance deadline about one month away, fund managers need to have key components in place, says Cordium’s Derek McGibney.

AML / KYC

Technology, Multi-Agency Cooperation in Focus at HKMA

By Manesh Samtani | 11/10/2018

At the Refinitiv Pan Asian Regulatory Summit, HKMA’s Carmen Chu discussed how technology and cooperation with authorities contributes to a safe and clean financial centre.

Market Infrastructure

HKEX to Roll Out Nasdaq Real-Time Risk Technology

By Manesh Samtani | 10/10/2018

The technology provides HKEX with a single point-of-entry for risk management across its markets and enables CCPs more efficient operations and regulatory compliance.

Enforcement

SFC to ‘Vigorously Pursue’ Individuals Culpable for Misconduct

By Manesh Samtani | 10/10/2018

The SFC will do “whatever it takes” to tackle capital markets misconduct, said deputy chief executive Julia Leung at the 2018 Refinitiv Pan Asian Regulatory Summit.

Securities / Derivatives

Hong Kong, UK Sign Mutual Recognition of Funds Agreement

By Manesh Samtani | 09/10/2018

The agreement allows eligible funds in Hong Kong and the UK to be distributed in each other’s market through a streamlined process.

Market Infrastructure

New Platform for Northbound Trading Set for Mid-2019 – HKEX

By Editors | 08/10/2018

New information paper presents an overview of the migration of HKEX technology infrastructure for northbound trading under Stock Connect.

Market Infrastructure

Hong Kong, Singapore Gear Up Reform in Asset Management Sector

By Manesh Samtani | 04/10/2018

Remi Toucheboeuf at BNP Paribas Securities Services sat down with Regulation Asia to talk about new opportunities for fund managers in Hong Kong and Singapore.

Securities / Derivatives

HK Bourse Proposes to Suspend Firms with Disclaimer, Adverse Audit Opinions

By Editors | 02/10/2018

A trading suspension would be imposed if a listed company’s auditor has issued a disclaimer or adverse opinion on the company’s financial statements.

AML / KYC

HKMA Outlines Regtech Initiatives – Speech

By Manesh Samtani | 28/09/2018

The HKMA is looking to build a more diversified regtech ecosystem in Hong Kong and urges for greater collaboration between the banking industry and technology community.