SECURITIES AND FUTURES COMMISSION

AML / KYC

HK Regulators Publish AML/CTF Training Course

By Samuel Riding | 11/11/2016

Materials can be used as a reference and for internal training.

AML / KYC

HK SFC Forms Specialist Teams for Key Risk Areas

By Samuel Riding | 10/11/2016

Temporary teams will cover IPO misconduct, misconduct on GEM; AML/KYC, and mis-selling.

Market Infrastructure

Rise in Complaints Warrants HK IPO Reform – SFC

By Samuel Riding | 09/11/2016

Proposed listing reforms will enhance SFC’s transparency, accountability and efficiency, CEO says.

Market Infrastructure

HK Launches Best Execution Review

By Samuel Riding | 07/11/2016

Securities regulator to conduct on-site inspections, benchmark vs other regulators.

Former UOB Rep Banned Over $6.48mn Trading Loss

By Samuel Riding | 03/11/2016

Former representative said to have breached Code of Conduct; banned for 10 years.

Standard Chartered Involved in HK IPO Probe

By Samuel Riding | 02/11/2016

Bank warns of ‘financial consequences’ if regulator takes action.

HK Regulator Revokes Asset Management Licences

By Samuel Riding | 01/11/2016

Company owner’s licence is revoked; banned for 10 years for abuse of clients’ trust.

Market Infrastructure

HK SFC Probes UBS on IPO Sponsorships

By Samuel Riding | 31/10/2016

Swiss bank could face fines or temporary suspension of advisory services.

AML / KYC

HK SFC Amends Account Opening Rules

By Samuel Riding | 25/10/2016

Regulator says Code of Conduct requirements are at par with international standards, adds some measures.