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AML / KYC
SFC Finalises Investor ID, OTC Securities Reporting Regimes
By Manesh Samtani | 11/08/2021
The investor identification regime is expected to be launched in H2 2022. The securities transactions reporting regime will go live in H1 2023.
Enforcement
Former HKEX Exec Pleads Not Guilty to Corruption Charges
By Editors | 11/08/2021
The former co-head of HKEX’s IPO-vetting team, Eugene Yeoh, was arrested in June 2019 for alleged bribery and misconduct in public office.
Securities / Derivatives
Deutsche Bank Set to Regain Ability to Sponsor HK IPOs
By Ranamita Chakraborty | 05/08/2021
Deutsche Bank has reportedly secured two senior hires who will be able to act as IPO principals, subject to regulatory approval.
Enforcement
Hong Kong SFC Fines UBS Over Regulatory Breaches
By Editors | 03/08/2021
The breaches involve research report disclosures, telephone recordings, client derivatives knowledge assessments, and structured product sales.
AML / KYC
SFC Calls on Industry to Report Suspected Ramp-and-dump Activity
By Manesh Samtani | 26/07/2021
Ramp-and-dump scams now account for about half of the market manipulation cases being investigated by the SFC. Overseas investors also being targeted.
AML / KYC
SFC Sanctions Sino-Rich Responsible Officers Over AML Breaches
By Editors | 20/07/2021
Sino-Rich Securities & Futures was fined for AML breaches in March. Its CEO and another director have been deemed responsible.
AML / KYC
SFC Issues Warning on Unregulated Virtual Asset Platforms
By Editors | 18/07/2021
Soon after the SFC’s statement, Binance announced that stock tokens will no longer be available for purchase on its website.
ESG / Sustainability
Hong Kong Launches Centre for Green and Sustainable Finance
By Manesh Samtani | 15/07/2021
The Centre will serve as a cross-sector platform to coordinate the transition efforts and serve as a repository for resources, data and analytics.
Fintech / Regtech
SFC, Canadian Regulators Establish Fintech Cooperation Agreement
By Editors | 12/07/2021
Under the agreement, the SFC and eight Canadian securities regulators will cooperate on information sharing and referrals between their innovation functions.
ESG / Sustainability
Taiwan FSC Tightens Rules for ESG-themed Funds
By Sanday Chongo Kabange | 08/07/2021
Asset managers are required to set one sustainability goal and explain how their investments help achieve that goal.
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