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Fintech / Regtech
Huobi Seeks to Launch Retail Crypto ETF in HK
By Manesh Samtani | 30/03/2022
Huobi Tech has structured the ETF so that it won’t be restricted to just professional investors, possibly through the use of crypto futures listed on overseas exchanges.
Fintech / Regtech
HKMA Issues Additional Guidance for SVF Licensees
By Editors | 28/03/2022
New practice note offers guidance on governance, outsourcing, internal controls, technology risk, and business conduct, among other areas.
Fintech / Regtech
Greening Asia Through Data and Regulation
By Steven Yankelson | 09/03/2022
Effective and efficient ESG risk management and reporting practices can be enabled through better data and technology, says Steven Yankelson.
HKMA Seeks to Reassure Bankers Over Covid Restrictions
By Editors | 07/03/2022
Concerns are mounting over closed schools and bars, banned flights, and a plan to launch a mass testing programme that may be coupled with a citywide lockdown.
ESG / Sustainability
APRA to Survey Regulated Entities on Climate Risk Management
By Sanday Chongo Kabange | 03/03/2022
The survey will assess the alignment between current approaches used by regulated entities and the expectations set out in CPG 229 and the TCFD recommendations.
Securities / Derivatives
Eight SPACs Have Filed IPO Applications in Hong Kong
By Sanday Chongo Kabange | 02/03/2022
The first applicant, backed by CMB International, has been approved. The latest applicant is a SPAC majority owned by ex-HKMA chief Norman Chan.
Securities / Derivatives
SFC’s New Rules on Bookbuilding & Placing Activities: What to Know
By Alan Linning | 02/03/2022
Alan Linning and Susanne Harris explain the new requirements and offer guidance on next steps for intermediaries to prepare for compliance by August.
Enforcement
SFC Permanently Bans Ex-HSBC Employee Over Bribery Convictions
By Editors | 02/03/2022
The former vice president accepted gifts as inducements to handle credit applications and maintain the credit facilities for two companies controlled by a client.
Securities / Derivatives
SFC, HKMA Launch Joint Review of Investment Product Selling Practices
By Editors | 02/03/2022
The review’s objectives are to assess intermediaries’ compliance with requirements to perform product due diligence, conduct suitability assessments and provide information to clients.
AML / KYC
The SFC Approach to Virtual Assets Prioritises Investor Protection
By Manesh Samtani | 28/02/2022
Since 2018, the steps taken by the SFC to regulate the virtual asset space have prioritised investor protection, first and foremost.
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