SECURITIES AND FUTURES COMMISSION

HK Expands Fund Disclosure Requirements

By Samuel Riding | 06/03/2017

All authorised funds must now disclose ongoing charges, past performance.

AML / KYC

HK to Expand Professional Investor Qualification

By Samuel Riding | 02/03/2017

Joint accounts and existing investments to be counted towards qualification amount.

Enforcement Roundup – Australia, Hong Kong and Malaysia

By Samuel Riding | 21/02/2017

Malaysia revokes licenses for manipulative trading activities; HK offender ordered to pay regulator’s costs.

HK SFC’s Case Completions Surge

By Samuel Riding | 17/02/2017

Regulator completes nearly 40% more investigations in 9M16; sharp fall in criminal charges laid.

Market Infrastructure

HK SFC Joins Blockchain Consortium

By Samuel Riding | 15/02/2017

Regulator to test blockchain-backed securities and futures transactions.

Ex-HSBC Employee Banned for Life

By Samuel Riding | 14/02/2017

SFC says Li Lee not fit and proper to be licensed following criminal convictions.

Market Infrastructure

HKEX Appoints Group General Counsel

By Samuel Riding | 14/02/2017

Ferheen Mahomed will serve as legal department head, monitor LME, LME Clear.

Market Infrastructure

HK SFC Reprimands, Fines Forex Firm

By Samuel Riding | 10/02/2017

Firm’s neglect of regulatory standards affected prices in about 240 transactions.

AML / KYC

HK Freezes Assets in Insider Dealing Probe

By Samuel Riding | 06/02/2017

Court grants SFC request to stop suspects transferring $3.3 million out of Hong Kong.