SECURITIES AND FUTURES COMMISSION

    image

    Securities / Derivatives

    SFC Set to Formally Adopt Fast Track Authorisation Process for Funds

    By Sanday Chongo Kabange | 29/04/2025

    The SFC will formally adopt FASTrack from 5 May following “smooth” implementation and “positive feedback” from applicants during the 6-month pilot.

    image

    Enforcement

    SFC Fines Interactive Brokers Over Expired Standing Authority

    By Sanday Chongo Kabange | 29/04/2025

    Interactive Brokers loaned out client securities without first renewing the standing authority in place for securities borrowing and lending.

    image

    Market Infrastructure

    SFC, HKMA Issue Guidance for New Derivatives Reporting Regime

    By Sanday Chongo Kabange | 28/04/2025

    The documents provide clarifications and address concerns on the implementation of the updated OTC derivatives reporting requirements commencing in September.

    image

    AML / KYC

    SFC Imposes Six Month Ban on Former Executive of CSC Futures

    By Sanday Chongo Kabange | 23/04/2025

    The SFC said the former senior manager failed to discharge his duties as a responsible officer, resulting in AML/CFT failures by CSC Futures.

    image

    Securities / Derivatives

    Hong Kong to Start Implementing Paperless Securities Market in 2026

    By Editors | 21/04/2025

    Legislative processes for the implementation of the USM initiative have been completed. All issuers will transition to paperless securities by 2031.

    image

    Securities / Derivatives

    HK Prepares for Homecoming of US-Listed Chinese Firms

    By Manesh Samtani | 17/04/2025

    Hong Kong official Paul Chan has asked the SFC and HKEX to prepare for Chinese companies in the US that may wish to return.

    image

    Korea FSC to Ease Burden of Auditor Designation Rule

    By Thisanka Siripala | 16/04/2025

    The draft amendments will allow companies with strong governance to postpone regulatory-mandated auditor designations.

    image

    Crypto / Digital Assets

    SFC Grants First Approvals Allowing Crypto Staking Services

    By Sanday Chongo Kabange | 14/04/2025

    HashKey and OSL can expand their product and service offerings to provide staking as a service to clients, including retail clients.

    image

    Crypto / Digital Assets

    HKMA Issues Guidance on Crypto Staking Services for Banks

    By Sanday Chongo Kabange | 09/04/2025

    Banks must implement adequate policies and controls before engaging in crypto staking services, HKMA said.

    image

    Enforcement

    Korea FSS Investigates MBK Investment Advisory Firm

    By Thisanka Siripala | 09/04/2025

    The investigation follows allegations of misuse of non-public information linked to a public acquisition in 2023.

    JOIN OUR NEWSLETTER

    A daily selection of top stories from the Regulation Asia editorial team