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Securities / Derivatives
Trades with Vietnam, Pakistan, Taiwan to be Exempt from HK OTC Reporting Requirements
By Samuel Riding | 28/04/2017
Securities law won’t be amended until October; firms asked to contact regulators if they cannot meet 1 July deadline.
Market Infrastructure
HK Regulator to Ask Brokers to Upgrade Cybersecurity
By Samuel Riding | 20/04/2017
Development follows on from January warning on DDOS hacks and blackmail.
Fintech / Regtech
Hong Kong Pitches for Regtech Leadership
By JP Reimann | 13/04/2017
Regulators encourage mutual support and cooperation as industry players eye billions in cost savings.
Market Infrastructure
Merrill Lynch Units’ $1.9mn Fine Could Have Been Much Larger – HK SFC
By Samuel Riding | 27/03/2017
One unit advised on futures contracts for more than 10 years without the required license.
AML / KYC
HK SFC Fines Brokerage $335,000 for 300 AML Failures
By Samuel Riding | 15/03/2017
Zhongtai International breached AML/CTF Ordinance, Code of Conduct and SFC guidance.
Red Flags in HK Managers in Charge Regime
By Samuel Riding | 09/03/2017
July deadline looming large over financial institutions and their service providers.
AML / KYC
HK SFC Fines Securities Firm for AML Breaches
By Samuel Riding | 07/03/2017
Firm breached 3 regulations including SFC Code of Conduct.
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.
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