Securities and Futures Commission

Securities / Derivatives

Get Ready for Expanded OTC Derivatives Reporting – SFC

By Editors | 05/06/2017

The Hong Kong SFC (Securities and Futures Commission) issued a circular telling licensed corporations to ensure their systems are prepared […]

Cybersecurity – HK SFC’s Top Priority to Soon Become the Same for Senior Managers

By JP Reimann | 23/05/2017

New rules likely soon after SFC consultation as WannaCry underscores need for protection.

AML / KYC

HK SFC Launches Broker Cybersecurity Consultation

By Editors | 09/05/2017

Cybercrime rapidly becoming a top priority of Asia Pacific regulators.

AML / KYC

SFC Launches Robo-advice Consultation

By Samuel Riding | 08/05/2017

Proposed rules cover governance, suitability requirements and complex product sales.

Market Infrastructure

HK SFC Warns on ‘Phantom’ Brokerages

By Samuel Riding | 08/05/2017

Executive director for intermediaries says regulator will sanction or ban dormant firms.

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.