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ESG / Sustainability
HK Steering Group Announces Next Steps in Green Transition
By Editors | 18/12/2021
HKMA to develop new ECF module on Green and Sustainable Finance. Steering Group to explore local taxonomy and voluntary carbon market.
AML / KYC
SFC Fines Mason Securities for AML Breaches
By Editors | 17/12/2021
In deciding the disciplinary sanction, the SFC took into account the “extensive period of time” over which the failures occurred.
Market Infrastructure
HKMA, SFC Consult on Calculation Periods for OTC Derivatives Clearing
By Editors | 16/12/2021
The existing list of calculation periods will be exhausted in about one year’s time. The HKMA and SFC propose to add eight similar calculation periods to the clearing rules.
AML / KYC
Hong Kong, Singapore Authorities Arrest 10 in Joint Operation
By Manesh Samtani | 16/12/2021
Six senior executives of Hong Kong listed companies were among those arrested, for operating a cross-border pump-and-dump manipulation scheme.
ESG / Sustainability
HK to Enhance Mainland Connection via Stock Connect, Carbon Market
By Sanday Chongo Kabange | 15/12/2021
The SFC is seeking to align Hong Kong’s trading days with the mainland, add more securities to Stock Connect, and establish a cross-border carbon market.
Securities / Derivatives
SFC Set to Launch Digital Licensing Platform on WINGS
By Editors | 15/12/2021
New electronic licensing forms for licence applications, annual returns, notifications and regulatory filings are to be submitted through WINGS from 3 January.
Securities / Derivatives
SFC Sets Out Rules for Quarantine-free Travel to Mainland
By Manesh Samtani | 14/12/2021
Staff or directors of licensed corporations whose main purpose of travel is for the management of the firm’s Mainland business are eligible.
Securities / Derivatives
China to Restrict Use of VIE Structures for Foreign IPOs
By Manesh Samtani | 10/12/2021
The blacklist is expected to target new companies in sensitive sectors that use VIE structures to run their China businesses.
Crypto / Digital Assets
Mapping Out How Decentralised Exchanges Can be Regulated
By Kristi Swartz | 07/12/2021
An appropriate regulatory regime that safeguards investors and fosters innovation will allow society to benefit from DEXs and DeFi generally, says DLA Piper’s Kristi Swartz.
Enforcement
Hong Kong SFC Imposes Lifetime Ban on Former Licensee
By Editors | 06/12/2021
The former licensee offered to invest for two students he taught, and then misappropriated their funds for his personal use.
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