SECURITIES AND FUTURES COMMISSION

Hong Kong Terminates Plan for Dual-Class Shares

By Editors | 06/10/2015

The Stock Exchange of Hong Kong has terminated a plan to allow dual-class shares and other weighted-voting rights structures after objection from the Securities and Futures Commission.

Hong Kong Scraps Dual-Class Shares Plan

By Samuel Riding | 05/10/2015

SFC objects, saying proposals would damage reputation of Hong Kong’s regulatory system.

Hong Kong SFC Chairman Carlson Tong Reappointed

By Editors | 05/10/2015

The Securities and Futures Commission has reappointed Carlson Tong as its chairman for a term of three years effective from October 20, 2015.

HKMA-SFC Consult on Mandatory Clearing and Reporting for OTC Derivatives

By Editors | 01/10/2015

Consultation paper introduces first phase of mandatory clearing and second phase of mandatory reporting under new OTC regime.

HKEx Announces CCASS Service Enhancements

By Editors | 21/09/2015

HKEx has announced the introduction of further CCASS service enhancements relating to Shanghai-Hong Kong Stock Connect in two stages, subject to SFC approval.

Regulatory Crackdown on Moody’s Discourages Tough Analysis on China Companies

By Peter Guy | 21/09/2015

Hong Kong’s securities regulator takes an ominous and non-transparent move that will affect how analysts scrutinise local and mainland enterprises.

IOSCO Publishes Report on Cross-Border Regulation

By Editors | 20/09/2015

Final report published from the IOSCO Task Force on Cross-Border Regulation.

SFC Reveals Direct Pathway for HK Brokers to Deal with US Customers

By Editors | 17/08/2015

Hong Kong’s Securities and Futures Commission has issued a circular describing the application procedure for certain licensed corporations to deal directly with customers in the United States.

SFC Fines BNP Paribas HK$15m for Dark Pool Failures

By Editors | 04/08/2015

SFC fines BNP Paribas HK$15m for failing to properly prioritise client orders in matching and obtain their consent in relation to its dark liquidity pool trading services.