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Hong Kong
Enforcement
IA, HKMA Take Joint Enforcement Action Against Insurance Agent
By Sanday Chongo Kabange | 12/01/2024
The agent was suspended and fined for keeping gift vouchers that were intended to be given to clients as gifts.
Securities / Derivatives
HKEX to Support More Mainland Firms to List in Hong Kong
By Sanday Chongo Kabange | 11/01/2024
Under the MoU, HKEX will support Xi’an-based companies that are interested in seeking a listing in Hong Kong.
Enforcement
SFC Issues New Alert on Suspicious Real Estate Investment Products
By Sanday Chongo Kabange | 10/01/2024
The SFC has warned the public to be wary of Kaplink 006 Limited and Kaplink 007 Limited, involving real property development projects in Australia.
AML / KYC
SFC Sanctions Responsible Officer Over Licensee AML Compliance Failures
By Sanday Chongo Kabange | 10/01/2024
The SFC suspended Andy Wong Yeung for 10 months over his role in City International Futures’ AML compliance failures.
Crypto / Digital Assets
HK Spot Crypto ETFs to Drive Collaboration with TradFI Firms
By Nithya Subramanian | 09/01/2024
With regulatory safeguards in place, the success of crypto ETFs hinges on institutional interest tied to market conditions, including crypto valuations.
ESG / Sustainability
HK Regulators Unveil New Sustainable Finance Initiatives
By Sanday Chongo Kabange | 09/01/2024
Hong Kong will adopt the IFRS Sustainability Disclosure Standards and integrate transition considerations into policy work.
Securities / Derivatives
SFC Sets Out Trigger Events Requiring Disclosure by ETF Managers
By Editors | 03/01/2024
The circular lists examples of events that may trigger ongoing disclosure requirements by management companies of ETFs.
Capital / Liquidity
Hong Kong Published Basel III related Rules in Gazette
By Editors | 30/12/2023
The rules published in the gazette are to implement Basel III components including the revised credit risk framework and the output floor.
ESG / Sustainability
HKMA Study Assesses Climate Risks of HK-domiciled Funds
By Sanday Chongo Kabange | 29/12/2023
The study found that the climate risk of HK-domiciled funds is “in line with funds domiciled in other Asia-Pacific economies.”
AML / KYC
Four Arrested in HK for Diamond-based Money Laundering Scheme
By Manesh Samtani | 28/12/2023
Hong Kong companies traded synthetic diamonds with a company in India but declared them as natural diamonds as a way to launder money.
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