HONG KONG

Securities / Derivatives

HK SFC Planning Fund Liquidity Rules

By Editors | 17/06/2016

Regulators’ increasingly concerned about role of investment funds as source of systemic risk.

Market Infrastructure

State Street Fined Over Management of HK Tracker

By Samuel Riding | 16/06/2016

Cash balances in related party’s demand deposit accounts earned no interest over 4.5 years.

Market Infrastructure

HKEx, SFC to ‘Fine-tune’ IPO Regulations

By Samuel Riding | 02/06/2016

SFC could become ‘last gatekeeper’ in IPO process, also set to review back-door listings.

Market Infrastructure

SHFE Applies for HK ATS License

By Samuel Riding | 01/06/2016

Shanghai Futures Exchange platform could initially trade crude oil futures.

AML / KYC

Guotai Junan Fined for Breaching Client ID Rule

By Samuel Riding | 31/05/2016

SFC says securities firm took more than six months to comply with two-day disclosure rule.

Market Infrastructure

HK, US Regulators Agree Mutual Supervision, Oversight

By Samuel Riding | 24/05/2016

SFC and FINRA sign agreement on regulation of entities with cross-border operations.

AML / KYC

SFC to Consult on Investor Identity Disclosure

By Samuel Riding | 23/05/2016

Brokers could be required to disclose identities of individuals making equity trades.

Market Infrastructure

HKMA Launches Cybersecurity Initiative

By Samuel Riding | 19/05/2016

Programme to cover cyber resilience assessment, professional development and information sharing.

HSBC Private Bank Fine Breaks New Regulatory Ground

By Peter Guy | 09/05/2016

Hong Kong SFC’s punitive measures are unlikely to make investing safer for advisors or clients.