Securities and Futures Commission

AML / KYC

HK, US Regulators Agree Cross-Border Monitoring

By Samuel Riding | 20/01/2017

Agreement covers cooperation on license exemptions and on-site visits for financial infrastructures and firms.

HK Firms Appointing Juniors as Responsible Officers – SFC

By Samuel Riding | 20/01/2017

Executive director for intermediaries defends Manager-in-Charge regime.

HK SFC Sues StanChart, UBS for IPO ‘Misconduct’

By Samuel Riding | 18/01/2017

Case relates to timber company now in liquidation, delisting due to accounting irregularities.

HK Court Rejects Citron Appeal

By Samuel Riding | 16/01/2017

Court says Left’s application to appeal not on time, would not have succeeded anyway.

‘Reg A+’ Answers Hong Kong’s Start-up Needs

By Peter Guy | 16/01/2017

Rather than starting a third board, HKEX should explore creative ideas for private placements.

AML / KYC

SFC Bans Ex-Citibank Staff for Tampering with Client Signature

By Samuel Riding | 06/01/2017

Regulator says former employee attempted to deceive bank on client application.

HK SFC Reprimands, Fines MIS Services $0.4mn

By Samuel Riding | 04/01/2017

MIS Services, formerly Standard Chartered Investment Services, said non-compliant with MPF Code and Code of Conduct.

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

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