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HK SFC Reprimands, Fines MIS Services $0.4mn
By Samuel Riding | 04/01/2017
MIS Services, formerly Standard Chartered Investment Services, said non-compliant with MPF Code and Code of Conduct.
Capital / Liquidity
HK Unauthorised Mortgage Alert System Goes Live
By Samuel Riding | 04/01/2017
Land Registry will alert banks when documents are registered.
Market Infrastructure
HK SFC Bans Ex HSBC Broker
By Samuel Riding | 03/01/2017
Investigation finds Lam Yuk Wai performed unauthorised transactions and deceived clients.
Securities / Derivatives
HKEX to Introduce Derivatives VCM on 16 January
By Samuel Riding | 03/01/2017
Volatility control mechanism was originally to be introduced on 14 November 2017.
Capital / Liquidity
HK Gov’t Gazettes New Disclosure Requirements
By Samuel Riding | 03/01/2017
Amendments also introduce some exemptions from existing requirements.
AML / KYC
HK SFC Clarifies Product Suitability Requirements
By Samuel Riding | 28/12/2016
Advertisements, research reports may not trigger obligations if no direct communication with client.
Hong Kong – 2016 in Review
By Samuel Riding | 22/12/2016
Enforcement the major order of the year for Hong Kong regulators.
Market Infrastructure
HKMA Implements Cybersecurity Programme
By Samuel Riding | 22/12/2016
Hong Kong banking industry can soon access Cyber Intelligence Sharing Platform
Securities / Derivatives
Hong Kong Trials Short Position Reporting Rules
By Samuel Riding | 20/12/2016
New requirements due to come into effect on March 15.
Market Infrastructure
HKMA Develops Enhanced Cybersecurity Competency Framework
By Samuel Riding | 20/12/2016
Framework including continuing professional development to foster cybersecurity talent ..
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