SECURITIES AND FUTURES COMMISSION

Market Infrastructure

Hong Kong Expands Short Position Reporting Rules

By Samuel Riding | 25/02/2016

SFC expands position reporting to all securities that can be shorted; sets collective investment scheme threshold at HKD30 million.

Market Infrastructure

SFC Flags ‘Fake Regulator’

By Samuel Riding | 12/02/2016

Hong Kong Foreign Investments Trade Authority the latest in a long line of fictitious regulators and market operators.

Market Infrastructure

HK Regulators Revise OTC Derivatives Proposals

By Samuel Riding | 06/02/2016

HKMA and SFC give institutions extra three months to comply with first phase of mandatory clearing.

HK to Approve Inverse and Leveraged ETFs

By Samuel Riding | 05/02/2016

Higher-risk ETFs are subject to counterparty and liquidity concerns in the US.

Market Infrastructure

HKEx to Review De-listing Rules

By Samuel Riding | 04/02/2016

Review prompted by institutional investors’ concerns about inability to exit positions.

Market Infrastructure

Goldman Sachs Censured for HK Takeover Code Breaches

By Samuel Riding | 03/02/2016

Investment bank failed to make dealing disclosures on 111 trades, breached research report restrictions.

AML / KYC

HK, Singapore, Australia Delay UTI Implementation

By Samuel Riding | 02/02/2016

Regulators to await international standards, delay implementation to early 2017.

Market Infrastructure

SFC Warns of Brokerage Account Security Breaches

By Samuel Riding | 29/01/2016

Incidents of unauthorised access prompt reminder from regulator, cybercrime bureau.

A Duty of Care: SFC, HKEx and China Metals Recycling

By Peter Guy | 26/01/2016

Hong Kong regulators and listing sponsors must share responsibility for IPO fraud.