All posts tagged "Hong Kong"
-
China
China Market Further Opened to HK, Macau Brokers
CSRC announced that Hong Kong and Macau securities brokerages will be allowed to set up fully licensed units in parts China.
August 25, 2015 -
Hong Kong
SFC Reveals Direct Pathway for HK Brokers to Deal with US Customers
Hong Kong’s Securities and Futures Commission has issued a circular describing the application procedure for certain licensed corporations to deal directly with customers in the United States.
August 17, 2015 -
Hong Kong
HKMA Cautions Banks on Malpractice by Intermediaries and Sales Agents
The Hong Kong Monetary Authority has issued a circular to banks requiring them to enhance customer protection and mitigate reputational risk arising from possible malpractices of intermediaries or sales agents.
August 10, 2015 -
Hong Kong
SFC Fines BNP Paribas HK$15m for Dark Pool Failures
SFC fines BNP Paribas HK$15m for failing to properly prioritise client orders in matching and obtain their consent in relation to its dark liquidity pool trading services.
August 4, 2015 -
Hong Kong
HKMA Fines State Bank of India for Breach of AML/CTF Rules
SBI's Hong Kong branch fined HK$7.5 million for breaching anti money-laundering and counter terrorism financing rules.
August 3, 2015 -
Hong Kong
Nomura Hong Kong Fined for Disclosure Failings
SFC fines Nomura Hong Kong HK$4.5 million for failing to promptly report trading misconduct by one of its traders.
July 31, 2015 -
Hong Kong
SFC Consults on Proposes Changes to Financial Resources Rules
The Securities and Futures Commission has released a consultation paper on proposed changes to the Securities and Futures (Financial Resources) Rules relating to capital and other prudential requirements for licensed corporations engaged in over-the-counter derivatives activity.
July 21, 2015 -
Hong Kong
Hong Kong OTC Derivatives Reporting Regime to Take Effect July 10
The HKMA advises all licensed banks to follow its guidance to ensure a smooth transition in the upcoming migration to the new OTC derivatives reporting regime.
June 29, 2015 -
Hong Kong
SFC Opposes HKEx on Weighted Voting Rights for Hong Kong Stocks
The Securities and Futures Commission has issued a statement announcing it does not support allowing weighted voting rights structures in companies listed in Hong Kong.
June 26, 2015 -
Hong Kong
HKEx to Revive Closing Auction System, Impose Volatility Controls
The Hong Kong Exchanges and Clearing board has approved two major reforms to regulate stock price movements to be implemented next year.
June 24, 2015
