Securities and Futures Commission

Market Infrastructure

SFC Said Surveying Brokerages on Dark Pool Compliance

By Samuel Riding | 19/07/2016

Dark pools comprised about 1.6% of Hong Kong securities market turnover last month.

Market Infrastructure

HK Issues OTC Clearing Revisions

By Samuel Riding | 15/07/2016

HKMA and SFC consultation conclusions add further proposed revisions.

Market Infrastructure

Hong Kong Enacts Resolution Ordinance

By Samuel Riding | 03/07/2016

Financial Institutions Ordinance establishes HKMA and SFC as resolution authorities.

Securities / Derivatives

SFC Ticks Off BAML for Disclosure Failings

By Samuel Riding | 30/06/2016

Units publicly censured for breaching takeovers code regarding dealing in two stocks.

SFC Calls for Tougher Action on Structured Products

By Samuel Riding | 27/06/2016

Regulator says SEHK should take ‘more severe regulatory action’ on active quote requirements.

AML / KYC

Hong Kong Code of Conduct Breaches Surge

By Samuel Riding | 23/06/2016

SFC Annual Report also reveals sharp rise in AML breaches.

Market Infrastructure

SFC, HKEx Issue Consultation on Listing Regulation

By Samuel Riding | 20/06/2016

Regulator and stock exchange propose changes to decision-making, governance structure.

Securities / Derivatives

HK SFC Planning Fund Liquidity Rules

By Editors | 17/06/2016

Regulators’ increasingly concerned about role of investment funds as source of systemic risk.

Uncategorised

Regulation and the Buy Side’s Role in Liquidity

By Samuel Riding | 16/06/2016

Asian regulators are starting to consider how to minimise the risks in investment funds’ growing role as market makers.