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Securities / Derivatives
Big Four Auditor Facing HK Lawsuit Over Chinese Audit
By Editors | 07/09/2022
The liquidator of a now-collapsed Chinese biotech firm said the auditor could have easily exposed fraud by asking obvious questions.
Securities / Derivatives
SFC Suspends Rifa Futures Exec Over ‘Xinguanjia’ Trading Software
By Editors | 06/09/2022
In July, Rifa Futures became the fourth firm to be fined over the use of Xinguanjia. The firm’s managing director has now been suspended for 8 months.
Market Infrastructure
CSRC Unveils Plans to Further Expand Stock Connect
By Manesh Samtani | 05/09/2022
More companies will be added to Stock Connect and Hong Kong will introduce treasury bond futures and a special counter for yuan stocks.
Fintech / Regtech
SFC Finds Deficiencies in Investment Services Offered Online
By Sanday Chongo Kabange | 02/09/2022
The SFC is calling on licenced corporations to address regulatory deficiencies identified in some investment services offered online.
Enforcement
SFC Probes AMTD Over Past Underwriting Deals – Reports
By Editors | 22/08/2022
The full scope of the probe into AMTD Group and its current status are “unclear”, but it is said to be related to previous underwriting deals.
Securities / Derivatives
Investment Funds Increasingly Setting Up as Singapore VCCs
By Editors | 17/08/2022
Singapore has reportedly been welcoming more than a dozen investment funds every month under the VCC regime.
Market Infrastructure
SFC, CSRC Agree to Align Trading Calendars for Stock Connect
By Sanday Chongo Kabange | 15/08/2022
Northbound and southbound Stock Connect trading will be possible on all trading days when both the Hong Kong and Mainland China markets are open.
Market Infrastructure
New Rules on Bookbuilding & Placing Activities Take Effect in Hong Kong
By Manesh Samtani | 10/08/2022
The new requirements represent the “most significant” regulation of debt primary markets in Asia-Pacific in recent memory, ICMA said in its latest quarterly report.
Enforcement
SFC Fines TC Capital for Due Diligence Failures in Sponsor Work
By Editors | 03/08/2022
The SFC said there was a need to send a “strong deterrent message” to the industry and market that “sponsor failures will not be tolerated”.
ESG / Sustainability
SFC Sets Out Next Steps on Green Transition Agenda
By Sanday Chongo Kabange | 03/08/2022
The agenda focuses on enhancing corporate disclosures, monitoring implementation of existing measures, and advancing work on a carbon market.
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