HONG KONG

    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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