SECURITIES AND FUTURES COMMISSION

Market Infrastructure

HK SFC Bans Ex HSBC Broker

By Samuel Riding | 03/01/2017

Investigation finds Lam Yuk Wai performed unauthorised transactions and deceived clients.

AML / KYC

HK SFC Clarifies Product Suitability Requirements

By Samuel Riding | 28/12/2016

Advertisements, research reports may not trigger obligations if no direct communication with client.

Hong Kong – 2016 in Review

By Samuel Riding | 22/12/2016

Enforcement the major order of the year for Hong Kong regulators.

Securities / Derivatives

Hong Kong Trials Short Position Reporting Rules

By Samuel Riding | 20/12/2016

New requirements due to come into effect on March 15.

Securities / Derivatives

HK SFC Asks Brokerage to Freeze Client Account

By Samuel Riding | 19/12/2016

Regulator says client account is suspected of being involved in market manipulation, account hacking.

AML / KYC

HK SFC Issues Management Accountability Rules

By Samuel Riding | 19/12/2016

Proposals cover eight main functions including compliance and AML/CTF.

Securities / Derivatives

SFC Revokes Securities Firm License for ‘Egregious Conduct’

By Samuel Riding | 16/12/2016

Officers banned from the industry for using client money for personal use.

AML / KYC

HK SFC Fined Firms $3.33mn in 1H16

By Samuel Riding | 09/12/2016

Disciplinary actions up 67%; civil proceedings rise 23%; completed investigations increase by 24%.

Regulation: Now Up Close and Personal

By Peter Guy | 05/12/2016

HK’s proposal to expand liabilities to support staff will only sow division.