Securities and Futures Commission

Capital / Liquidity

HK Beats Singapore to Resolution Regime

By Editors | 10/07/2017

HKMA narrowly outpaces Singapore rival to enacting regime; becomes lead resolution body with responsibility for securities and insurance as well as banking.

Enforcement

HK SFC, CSRC to Boost Stock Connect Supervision

By Editors | 03/07/2017

Regulators conducted 60 joint investigations in 1H16, taking total to 365 since Shanghai-HK link established in 2014.

Fintech / Regtech

Fintech Innovation vs. Regulation

By Peter Guy | 03/07/2017

Hong Kong needs to beware as Australia and Singapore regulators issue game-changing initiatives.

AML / KYC

GRC – The Path to Managing Regulatory Change Intelligently

By Derek McGibney | 29/06/2017

Why small and medium-sized firms don’t need an ‘oversized’ compliance effort.

Market Infrastructure

HKEX’s New Board a High-stakes, Regulatory Gamble

By Peter Guy | 26/06/2017

Defying critics, proposed board includes platforms for dual class shares and tech start-ups.

Securities / Derivatives

HKFE, SFC Fire off Conduct Warnings to Brokers

By Editors | 23/06/2017

A range of compliance and control issue failures uncovered at securities brokers in Hong Kong has prompted the SFC (Securities […]

Market Infrastructure

Hong Kong SFC Targets ‘Real Time’ Regulation

By Editors | 14/06/2017

Hong Kong’s SFC (Securities and Futures Commission) today (14 June) released its 2016/17 annual report, saying it intends to move […]

AML / KYC

HK Brokers’ Operations Halted for Allegedly Handling Proceeds of Crime

By Editors | 13/06/2017

Hong Kong’s SFC (Securities and Futures Commission) issued a restriction notice on a foreign exchange broker amid concerns money it […]

Securities / Derivatives

Get Ready for Expanded OTC Derivatives Reporting – SFC

By Editors | 05/06/2017

The Hong Kong SFC (Securities and Futures Commission) issued a circular telling licensed corporations to ensure their systems are prepared […]