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Market Infrastructure
Singapore and China Regulators to Increase Mutual Market Supervision
By Editors | 06/11/2017
Regulators will develop framework for supervising fund managers, share information and staff amid increasing capital market ties.
Enforcement
HK SFC Investigating 15 IPO Sponsors for ‘Substandard’ Work
By Samuel Riding | 12/10/2017
Head of enforcement says the IPO sponsors may have failed to verify data, opening the door to fraud by the listing companies.
AML / KYC
Hong Kong-China to Share Stock Connect Broker, Trader Names
By Editors | 11/10/2017
SFC chief says move will enhance market transparency and surveillance, and improve efficiency in cracking down on malpractice.
Market Infrastructure
Top CSRC Official Calls on Derivatives Industry to Develop OTC Options
By Samuel Riding | 04/10/2017
Vice chair Fang Xinghai says stock index futures market has been ‘substantially restored’ since outright ban in September 2015.
Market Infrastructure
SGX Regulatory Subsidiary Ready to Start Operations
By Editors | 12/09/2017
SGX RegCo will begin operations on Friday (12 September) with three new board members joining Tan Cheng Han and Tan Boon Gin at the helm.
Enforcement
CSRC to Push ‘Central Surveillance System’ for Exchanges
By Samuel Riding | 29/08/2017
Chairman Liu Shiyu cites ‘huge room for improvement’ in exchanges’ front-line supervision, citing failures exposed by 2015 stock market turmoil.
Securities / Derivatives
China Cracks Down on Investment Funds for IPO Rules Violation
By Garima Chitkara | 07/08/2017
China has blacklisted nine funds connected to HSBC for alleged “misbehaviour” in the financial markets, specifically pertaining to IPO’s.
Securities / Derivatives
China Financial Futures Exchange Ups Enforcement
By Editors | 31/07/2017
Exchange says it addressed more than 600 ‘abnormal trades’ in 1H17 and referred nine cases to the securities regulator; keeping […]
HKEX, CSRC and SFC on a Regulatory Collision Course
By Peter Guy | 31/07/2017
Regulatory problems in China market could spill into Hong Kong through HKEX’s new third board.
AML / KYC
China CRS Less Burdensome than Expected
By Editors | 27/07/2017
But law firm warns that CRS elsewhere is likely to have greater impact on Chinese residents, particularly those who invest […]
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