Securities and Futures Commission

Securities / Derivatives

HKEX Clearing Arm Invites Firms to Join 'Authorised Brokers' Panel

By Sanday Chongo Kabange | 16/10/2025

HKSCC is selecting up to 10 firms for a three-year term to execute transactions on its behalf. Applicants must have at least HKD 100 million in liquid capital and China Connect capabilities.

Securities / Derivatives

HKEX to Launch Hang Seng Biotech Index Futures in November

By Sanday Chongo Kabange | 15/10/2025

HKEX says the new cash-settled contract aims to provide a risk management tool for Hong Kong's fast-growing biotechnology sector.

Enforcement

Hong Kong Court Finds AMTD Global Markets Liable for Contempt

By Sanday Chongo Kabange | 14/10/2025

The firm, now oOo Securities, must produce documents related to an IPO investigation and faces a fine for non-compliance.

Securities / Derivatives

SFC Launches New Channel to Streamline REITs Authorisations

By Sanday Chongo Kabange | 14/10/2025

The SFC aims to cut REIT approval time to four weeks and ease documentary requirements for secondary offerings to boost the market.

AML / KYC

HK Police Bust Syndicate Using AI to Trick Banks' Remote KYC Checks

By Sanday Chongo Kabange | 13/10/2025

The HKPF says the syndicate used AI-altered identity documents to successfully open accounts remotely, prompting calls for banks to integrate with government digital ID systems.

Enforcement

Mounties Lawsuit Shines Spotlight on Financial Crime Advisers

By Nathan Lynch | 10/10/2025

AUSTRAC’s civil claim against Mounties for alleged AML/CTF breaches has sent a quiet shot across the bows of external consultants, writes Nathan Lynch.

Securities / Derivatives

Hong Kong Opens Pension Funds to Listed Private Equity

By Manesh Samtani | 09/10/2025

The move allows MPF schemes to invest up to 10% of NAV in approved listed PE funds as part of a broader strategy.

Enforcement

SFC Suspends Ex-Broker RO for AML, Credit Risk Failures

By Editors | 03/10/2025

The SFC has disciplined a former responsible officer for failing to manage credit risks and report suspicious, highly profitable client trades.

Securities / Derivatives

HKEX Warns Clearing Members on Misuse of Client Accounts

By Manesh Samtani | 02/10/2025

HKEX has reminded clearing members of their due diligence obligations and flagged common errors in client margin offsetting.