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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.
Securities / Derivatives
Hong Kong SPAC Framework to Prohibit Retail Access – Report
By Editors | 12/09/2021
Hong Kong’s SPAC framework will reportedly be issued for public consultation this month, proposing that only professional investors be allowed to participate.
ESG / Sustainability
Hong Kong Explores Role in Unified GBA Carbon Market
By Sanday Chongo Kabange | 08/09/2021
Hong Kong is exploring opportunities to establish a unified carbon market in the Greater Bay Area, leveraging the Guangdong ETS and Shenzhen ETS.
Securities / Derivatives
Deutsche Bank Reinstated as IPO Sponsor in Hong Kong
By Editors | 03/09/2021
The SFC has approved three new Deutsche Bank hires who can act as IPO sponsor principals, after its licence was suspended in July due to a staffing gap.
Securities / Derivatives
HKMA, SFC to Develop Concentration Risk Alerting System – Report
By Editors | 01/09/2021
The new system is intended to detect excessive risk-taking by banks and investment funds to guard against an Archegos style collapse.
AML / KYC
SFC Suspends Former Emperor Representative for 2 Years
By Manesh Samtani | 01/09/2021
The broker transferred client money through bank accounts he owned to help two clients transfer money to/from the Mainland, among other violations.
Enforcement
HK Police Arrest Two in Corporate Fraud Case
By Editors | 30/08/2021
The arrests were made following a joint operation with the SFC against a listed company and its former senior executives suspected of corporate fraud involving HK$450mn.
ESG / Sustainability
SFC Finalises Climate Risk Requirements for Fund Managers
By Manesh Samtani | 22/08/2021
Fund managers have 12-15 months to comply with the requirements, which cover governance, investment management, risk management and disclosure.
Market Infrastructure
HKEX Set to Launch A-share Index Futures in October
By Editors | 20/08/2021
The SFC approved HKEX’s launch of the new futures contract on Friday, calling it a major milestone for Hong Kong’s capital markets.
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