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HK to Approve Inverse and Leveraged ETFs
By Samuel Riding | 05/02/2016
Higher-risk ETFs are subject to counterparty and liquidity concerns in the US.
AML / KYC
Fraud Allegations at Australia’s Commonwealth Bank
By Samuel Riding | 04/02/2016
Staff allegedly involved in Ponzi scheme which continued for five years after initial suspicions raised.
Market Infrastructure
HKEx to Review De-listing Rules
By Samuel Riding | 04/02/2016
Review prompted by institutional investors’ concerns about inability to exit positions.
Market Infrastructure
Goldman Sachs Censured for HK Takeover Code Breaches
By Samuel Riding | 03/02/2016
Investment bank failed to make dealing disclosures on 111 trades, breached research report restrictions.
Market Infrastructure
SFC Warns of Brokerage Account Security Breaches
By Samuel Riding | 29/01/2016
Incidents of unauthorised access prompt reminder from regulator, cybercrime bureau.
Market Infrastructure
Regulation Limits Fintech Disruption: Chris Skinner
By Samuel Riding | 26/01/2016
Fintech specialist says regulatory environment allows incumbent banks to fend off insurgency.
A Duty of Care: SFC, HKEx and China Metals Recycling
By Peter Guy | 26/01/2016
Hong Kong regulators and listing sponsors must share responsibility for IPO fraud.
Market Infrastructure
HKMA Tells Banks to Prepare for New Risk Framework
By Samuel Riding | 20/01/2016
Letter to authorised institutions says regulator intends to follow Basel Committee timeline.
Market Infrastructure
Hong Kong Confirms CCyB Hike
By Samuel Riding | 15/01/2016
Buffer to be raised to 1.25 percent from 1 January 2017 amid credit, property market concerns.
APRA Expands IRB Permissions
By Samuel Riding | 20/12/2015
Banks outside ‘Big 4’ and Macquarie able to reduce risk weightings on some types of loan.
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