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Enforcement
2017 a Punishing Year for Naughty Traders in China
By Editors | 18/12/2017
China securities regulator has issued 206 administrative penalties in 2017, more than $1bn in fines; increasing cooperation with HK SFC.
Enforcement
Hong Kong Court Confirms Legality of SFC-CSRC Information Sharing
By Editors | 12/12/2017
Judge rejects legal challenge to transfer of documents seized by SFC during execution of a search warrant to the Chinese securities regulator.
Market Infrastructure
China Introduces New Risk Management Rules for Exchange Members
By Editors | 07/12/2017
New rules, which go into effect on 1 June next year, include restrictions on buy-in of securities companies, fund companies and other participants.
AML / KYC
HK SFC, CSRC Agree Investor ID System for Northbound Stock Connect
By Editors | 04/12/2017
SFC says Northbound scheme will be followed by Southbound investor identification, eventually spread to all SEHK investors.
Enforcement
Ex CITIC Securities President Jailed 3.5 Years for Corruption
By Editors | 16/11/2017
Caixin reports that Cheng Boming was among 11 CITIC executives detained for alleged insider trading and leaking information during 2015 market meltdown.
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.
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