Securities and Futures Commission

Securities / Derivatives

HKMA’s Trade Reporting Rewrite: An Opportunity to Modernise

By Nithya Subramanian | 11/06/2025

As Hong Kong’s new OTC derivatives reporting rules loom, DTCC is urging market participants to quickly start testing.

Market Infrastructure

SFC Calls on Firms to Enhance Client Asset Protection Controls

By Sanday Chongo Kabange | 10/06/2025

The SFC emphasised the need for stronger due diligence on third-party custodians and stronger internal audit functions to identify control gaps.

Market Infrastructure

Hong Kong Mulls Tweaks to Listing Regime Amid US-China Tensions

By Sanday Chongo Kabange | 09/06/2025

Regulators are considering ways to facilitate listings by US-listed Chinese companies that don’t comply with Hong Kong’s limits on dual-class shares.

AML / KYC

SFC Directs Brokers to Enhance Security Against SMS Phishing Scams

By Sanday Chongo Kabange | 09/06/2025

Hong Kong’s SFC has directed brokers to implement robust and up-to-date measures to safeguard against cyber fraud and SMS phishing scams.

Enforcement

SFC Outlines Multi-Pronged Strategy Against Unlicensed Finfluencers

By Manesh Samtani | 06/06/2025

The SFC has conducted thematic inspections to assess the practices used by intermediaries that engage with finfluencers.

Crypto / Digital Assets

Hong Kong Official Outlines Vision for Virtual Asset Development

By Manesh Samtani | 06/06/2025

Christopher Hui outlines Hong Kong’s vision for virtual asset development, emphasising security, innovation, and a multi-pronged strategy for growth.

Enforcement

SFC Imposes 6-Month Ban on Former Executive Director of MTF Securities

By Sanday Chongo Kabange | 06/06/2025

The SFC banned a former MTF Securities executive director for failing to properly manage credit risks and report suspicious trading […]

Enforcement

SFC Secures Landmark $190m Payout for Combest Shareholders

By Manesh Samtani | 03/06/2025

Former executives of delisted Combest Holdings will compensate shareholders following SFC action over inflated valuations.

Market Infrastructure

HKEX Prepares Market for Uncertificated Securities Regime

By Sanday Chongo Kabange | 02/06/2025

HKEX has outlined the steps for the 2026 shift to uncertificated securities and published a discussion paper on the key listing rule changes.