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Securities / Derivatives
HKEX Launches First China A-Share Futures Contract
By Editors | 18/10/2021
The contract is based on the MSCI China A 50 Connect Index, which tracks the performance of 50 key Shanghai and Shenzhen stocks available via Stock Connect.
Enforcement
HK Court Jails Former Convoy, Gransing Executives
By Editors | 17/10/2021
Former Convoy executives conspired to dishonestly arrange for bond placement commissions to be diverted to a company they substantially owned.
ESG / Sustainability
HK Regulators Offer Support for New Climate Action Plan
By Manesh Samtani | 13/10/2021
The Green and Sustainable Finance Cross-Agency Steering Group pledges support for the government’s Climate Action Plan 2050.
Securities / Derivatives
HKMA, SFC Outline Expectations on Sale of ILS Products
By Manesh Samtani | 11/10/2021
The circular follows the $30mn issuance of Hong Kong’s first catastrophe bond by Greater Bay Re, a state-sponsored special purpose vehicle.
Securities / Derivatives
SFC, HKMA Release Findings on Investment Product Sales
By Editors | 08/10/2021
Firms sold investment products with an aggregate transaction amount of HKD 5.7 trillion during 2020, with the participation of over 700,000 investors.
Market Infrastructure
Hong Kong Announces Initiatives to Bolster Financial Hub Status
By Manesh Samtani | 07/10/2021
Chief Executive Carrie Lam announced measures to improve the stock market listing regime and enable RMB-denominated securities in Hong Kong.
Market Infrastructure
SFC Issues New Guidance on Remote Working Risks
By Manesh Samtani | 05/10/2021
The SFC describes incidents that occurred due to failures to split teams amid the pandemic, set up phone recording, and promptly isolate a server compromised by ransomware.
Enforcement
Enforcement Should Drive Good Conduct, says HKEX’s Jon Witts
By Manesh Samtani | 28/09/2021
HKEX’s approach to enforcement is designed to drive better conduct, governance and compliance culture, says Head of Listing Enforcement Jon Witts.
Enforcement
HK Court Convicts Former Convoy Executives for Fraud
By Editors | 21/09/2021
Former Convoy executives conspired to dishonestly arrange for bond placement commissions to be diverted to a company they substantially owned.
AML / KYC
SFC Finalises AML Guidelines for Securities Sector
By Manesh Samtani | 15/09/2021
The guidelines will take effect on 30 September, except for the new cross-border correspondent relationships requirements, which take effect six months later.
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