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HK SFC Reprimands, Fines 2 JP Morgan Operations
By Samuel Riding | 21/10/2016
Entities breached disclosure rules, offered index options without due licence, had inadequate system controls.
Securities / Derivatives
HK’s SFC Reprimands, Fines Forex Service $500,000
By Samuel Riding | 20/10/2016
SFC concludes HK FXCM did not treat clients fairly or have proper controls, policies.
Market Infrastructure
HK Launches Brokerage Cybersecurity Review
By Samuel Riding | 14/10/2016
SFC says compromised or unauthorised transactions amounted to $12.89mn.
AML / KYC
SFC Clarifies Broker Requirements
By Samuel Riding | 03/10/2016
Clarification follows unusual step of public warning on internal AML controls.
Uncategorised
Asia Regulations Hindering ETF Adoption
By Samuel Riding | 28/09/2016
Stringent rules make ‘speed to market’ slower than in other regions despite clear market appeal.
AML / KYC
SFC Urges Brokers to Enhance AML Controls
By Samuel Riding | 22/09/2016
Licensees are vulnerable on being used to launder money and finance terrorism, regulator says.
Securities / Derivatives
SFC Proposes Higher Position Limits
By Samuel Riding | 21/09/2016
Cap on excess position limit could be increased 6-fold; 3-tier statutory position limit proposed.
SFC Reprimands, Fines HSBC $320,000
By Samuel Riding | 15/09/2016
Regulator penalises bank for regulatory breaches, internal control failures.
Market Infrastructure
Hong Kong Extends Listing Regulation Consultation
By Samuel Riding | 12/09/2016
Proposal to give SFC more say has prompted claims it will reduce HK’s appeal as an IPO destination.
CME Granted Hong Kong CCP Status
By Samuel Riding | 08/09/2016
6 September, 2016 – CME Group announced that Chicago Mercantile Exchange Inc. has been granted authorization to provide OTC clearing […]
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