Hong Kong

Securities / Derivatives

SFC Ticks Off BAML for Disclosure Failings

By Samuel Riding | 30/06/2016

Units publicly censured for breaching takeovers code regarding dealing in two stocks.

Securities / Derivatives

HKEX Squeezes Shorting Options

By Samuel Riding | 28/06/2016

From 4 July, fewer stocks become eligible to be shorted following periodic review of criteria.

SFC Calls for Tougher Action on Structured Products

By Samuel Riding | 27/06/2016

Regulator says SEHK should take ‘more severe regulatory action’ on active quote requirements.

AML / KYC

Hong Kong Code of Conduct Breaches Surge

By Samuel Riding | 23/06/2016

SFC Annual Report also reveals sharp rise in AML breaches.

Securities / Derivatives

HKEx, KRX to Explore Derivatives Cross-listing

By Samuel Riding | 22/06/2016

Agreement would cover index futures and options, local currency derivatives.

Market Infrastructure

HKMA Warns on Aggressive Mortgage Lending

By Samuel Riding | 21/06/2016

Developers’ offering up to 95% mortgages increases banks’ credit risk, deputy head says.

Market Infrastructure

SFC, HKEx Issue Consultation on Listing Regulation

By Samuel Riding | 20/06/2016

Regulator and stock exchange propose changes to decision-making, governance structure.

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.