Securities and Futures Commission

Securities / Derivatives

SFC to Propose ‘See-through’ Investor Identification

By Samuel Riding | 10/03/2016

System would allow regulator to see beyond broker transactions to identify instructing investors.

Securities / Derivatives

SFC Cuts Retail Investors from Ownership Principles

By Samuel Riding | 08/03/2016

Only minor changes made to best-practice guidelines after public consultation.

HKEx: In Through the Back Door

By Peter Guy | 07/03/2016

Mainland Chinese buyers are treating the Hong Kong stock exchange like a breeding pen for listed shells.

Market Infrastructure

HKEx Defends Low Entry Level for Listings

By Samuel Riding | 03/03/2016

Chief executive says investors’ ability to exit bad companies more important, warns on shell companies.

Market Infrastructure

SFC Pushes Back ATS Guideline Implementation

By Samuel Riding | 02/03/2016

Hong Kong regulator confirms deferral to coincide with introduction of mandatory OTC clearing.

Securities / Derivatives

SFC Fines Yuanta Securities’ HK Unit for Disclosure Failings

By Samuel Riding | 29/02/2016

Securities regulator says firm hid bond deal execution prices and financial gains.

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.