Securities and Futures Commission

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.

Hong Kong AML Breaches Surge

By Samuel Riding | 08/12/2015

SFC uncovers 81 anti-money laundering breaches in third quarter of 2015.

Entering the Regtech Era

By Samuel Riding | 30/11/2015

In a new research report three Asia Pacific-based academics offer answers to the vexing question of how to regulate financial technology.

SFC Warns on Unlicensed Forex Broker

By Samuel Riding | 30/11/2015

IQSFX added to alert list on suspicion of conducting unlicensed business in Hong Kong.

Reacting to Asian ‘Risk Tilt’

By Samuel Riding | 26/11/2015

Asia’s rising economic influence and growth in the amount of risk being booked directly into the region are posing new questions for financial regulators and those they regulate.

SFC Launches ATS Consultation

By Samuel Riding | 23/11/2015

Hong Kong regulator’s consultation focuses on applying automated trading regulation to OTC derivatives.

When Regulations and Technology Clash

By Peter Guy | 26/10/2015

The ill-conceived pursuit of technology innovations by wealth managers and over cautious regulations are causing more uncertainty among clients.