SECURITIES AND FUTURES COMMISSION

Securities / Derivatives

Hong Kong REITs Allowed to Repurchase Treasury Units

By Editors | 27/05/2024

The requirements for SFC-authorised REITs are similar to those applicable to other listed entities, following rule amendments made last month.

Enforcement

HK: Insider Trading Prosecution May Prompt Hedge Fund Closure

By Editors | 24/05/2024

“It is in the best interests of our investors to return their capital in an orderly manner,” a Segantii spokesperson said.

Securities / Derivatives

Korea: FSS Head Considers Partial Lifting of Short Selling Ban

By Editors | 22/05/2024

FSS Governor Lee Bok-hyun said he personally wishes to allow short selling practices in June, at least partially.

Enforcement

Hong Kong Court Jails Two Former Brokers for False Trading

By Editors | 20/05/2024

The two men, formerly licensed representatives of KGI Asia Limited and South China Securities Limited, were each jailed for three months.

ESG / Sustainability

ICMA Proposes Draft Code for ESG Data Providers

By Manesh Samtani | 17/05/2024

The draft Code of Conduct was prepared by an ICMA-led industry working group that was sponsored by Hong Kong’s SFC.

Securities / Derivatives

SFC Allows Broader Master-Feeder ETF Offerings in Hong Kong

By Editors | 17/05/2024

The SFC is extending the existing streamlined requirements for master ETFs to overseas-listed actively managed ETFs.

Market Infrastructure

Regulators Announce Enhancements to Swap Connect

By Sanday Chongo Kabange | 14/05/2024

The enhancements will enrich the tradeable products, improve ancillary services, and reduce investor participation costs.

Securities / Derivatives

China Mulls Tax Exemption for Stock Connect Investors

By Editors | 14/05/2024

The proposal to scrap the dividend tax for mainland Stock Connect investors was submitted in March by the SFC’s Tim Liu.

Securities / Derivatives

HKMA Issues Revised Guideline on SFC-registered AIs

By Editors | 13/05/2024

The revised module aims to serve as a “convenient regulatory handbook” for HKMA-authorised institutions that are also registered with the SFC.