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Securities / Derivatives
HKEX to Introduce Master SPSA Service for Fund Managers
By Editors | 18/03/2020
The new service allows pre-trade checking of China A shares for northbound trading at the fund manager level rather than at the individual fund level.
Securities / Derivatives
Hong Kong to Allow 60 Days Grace for Publishing Annual Reports
By Editors | 16/03/2020
Listed issuers may defer annual report publication for 60 days if they have published their preliminary results, management accounts or specified material financial information before 31 March.
Enforcement
SFC Considers Easing Data Storage Rules – Report
By Editors | 11/03/2020
Industry bodies are reportedly working with the SFC to clarify the rules and make compliance easier, though it is unclear what specific steps it will take to ease the requirements.
Securities / Derivatives
SFC Highlights Key Regulatory Initiatives in Quarterly Report
By Editors | 25/02/2020
Among the initiatives were the launch of the new OFC regime for private fund managers, a regulatory framework for virtual assets, and enhancements to the investor compensation regime.
Enforcement
HK Court Upholds SFC Power to Access Digital Devices in Investigations
By Editors | 19/02/2020
The SFC is empowered to access to email accounts and personal digital devices which may contain information relevant to its investigations, the court said.
Enforcement
HK SFC Fines Wealth Manager for Noncompliance with Taiwan Laws
By Editors | 17/02/2020
Capital Global Management Limited was distributing offshore investment funds and offering investment advice in Taiwan despite not being authorised by Taiwan’s regulator.
Securities / Derivatives
HK Accountants Body Calls for Blanket Extension to Results Deadline
By Editors | 12/02/2020
The SFC-HKEX decision to allow the publication of unaudited results on a case-by-case basis has “not yet fully addressed the concerns of the accounting industry”.
AML / KYC
SFC Fines BMI Securities, Suspends RO for AML Breaches
By Editors | 11/02/2020
The SFC has fined BMI Securities HK$3.7mn and suspended one of its responsible officers for failures to comply with AML/CFT obligations.
Enforcement
SFC Bulletin Shows Sponsor Conduct Still Top-of-mind
By Editors | 07/02/2020
The Regulatory Bulletin offers case studies illustrating the SFC’s key areas of concern and recent regulatory interventions in IPO applications and corporate transactions.
Enforcement
SFC Imposes One-Year Ban on RHB Securities Analyst
By Editors | 06/02/2020
The analyst traded stocks covered in research reports he prepared through his father’s securities trading account held at another brokerage.
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