All posts tagged "Licensed Corporations"
-
579Hong KongSFC Asks Licensed Firms to Review Controls on Third-Party Deposits
Senior management will be held accountable for failures to put in place effective policies, procedures and controls for handling third-party deposits and payments.
June 4, 2019 -
622Hong Kong
Hong Kong SFC Launches New Online Submission Portal
All functions and submission services available on the existing SFC Online Portal will be migrated to the new platform in phases.
January 7, 2019 -
367Hong KongSFC Warns Against Disguised Margin Financing
Suspected margin financing arrangements involve unlicensed affiliates of licensed corporations or third parties who appear to be engaging in securities margin financing without an SFC licence in order to circumvent regulatory requirements.
August 6, 2018 -
352EnforcementHong Kong SFC Releases Further Details on Licensing Regime
SFC bulletin highlights areas of concern the regulator considers in granting and rejecting licenses as well as updates to MIC regime; SFC also announced a forthcoming thematic review of MIC regime compliance.
May 17, 2018 -
479FeatureHong Kong Issues LEI, Platform Trading Consultation for OTC Derivatives
Paper says adopting LEIs should be mandatory for most market participants within six months of consultation conclusions being published.
March 29, 2018 -
1.3KHong Kong
SFC Raises Standards for Client Facilitation Trades
Client facilitation traders must be segregated from agency traders to protect client information and avoid conflicts of interest.
February 17, 2018 -
796Hong Kong
SFC Highlights Areas of Concern on Best Execution
Hong Kong SFC's recent report on licensed corporations attitudes towards best execution practices shows there is much to be desired.
February 8, 2018
