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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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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