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SECURITIES AND FUTURES COMMISSION
Enforcement
Hong Kong Auditor Suspended, Fined for Breaching Independence Rules
By Sanday Chongo Kabange | 27/05/2025
The auditor, who previously held senior positions at the SFC and HKMA, is suspended for 18 months and required to pay HKD 500,000 in penalties.
Securities / Derivatives
IOSCO Adopts Reforms to Bolster Fund Liquidity Risk Management
By Manesh Samtani | 27/05/2025
The reforms aim to better protect investors in open-ended investment funds, reduce liquidity mismatches, and ensure financial stability.
Market Infrastructure
HKTR to Open New ISO 20022 System One Week Early
By Manesh Samtani | 27/05/2025
The HKTR system for ISO 20022 standard implementation will be opened one week early to facilitate industry preparation for the new OTC derivatives reporting regime.
ESG / Sustainability
South Korea to Unveil ESG Disclosure Roadmap Next Month
By Editors | 24/05/2025
FSC to release ESG reporting guidelines in June in the face of industry concerns over Scope 3 measurement and shifting policy in other jurisdictions.
AML / KYC
SFC Alerts Public to Phishing Texts Targeting Brokerage Clients
By Sanday Chongo Kabange | 22/05/2025
Phishing texts are tricking Hong Kong investors into revealing personal data, leading to financial losses, warns the SFC.
AML / KYC
SFC Imposes 5-Month Ban on Former Lion Futures Director
By Sanday Chongo Kabange | 22/05/2025
The SFC banned a former MIC for five months over his role in Lion Futures’ failure to comply with AML/CFT requirements between 2017 and 2019.
Crypto / Digital Assets
Hong Kong Legislative Council Passes Stablecoin Ordinance
By Sanday Chongo Kabange | 21/05/2025
The ordinance, set to take effect later this year, will require issuers of fiat-referenced stablecoins to be licensed by HKMA to be offered in Hong Kong.
Securities / Derivatives
SFC’s Marketing Sounding Guidelines Are Challenging for Some Firms
By Manesh Samtani | 19/05/2025
Market practitioners say some firms might not be able to “strictly comply” with the new market sounding guidelines.
AML / KYC
APAC Regulators to Collaborate on Online Investment Scams
By Sanday Chongo Kabange | 16/05/2025
The SFC said it has forged regional consensus on regulatory collaboration to combat online scams at IOSCO’s annual meeting.
Market Infrastructure
Regulators Announce More Swap Connect Enhancements
By Sanday Chongo Kabange | 16/05/2025
The tenor of IRS contracts will be extended to 30 years and the product scope of Swap Connect will be expanded.
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