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Enforcement
SFC Bans China Tonghai Securities Representative for 20 Months
By Editors | 12/04/2022
The representative conducted 1,089 trades in clients’ stock options accounts but was only given specific authorisation for 87 trades of the trades.
Market Infrastructure
Work Advances to Bring RMB-denominated Stocks to Hong Kong
By Manesh Samtani | 11/04/2022
Hong Kong official Christopher Hui said a feasibility study has been completed and the next step is to engage with mainland regulators and relevant organisations.
ESG / Sustainability
Hong Kong Launches Climate Risk Data Source Repository
By Editors | 06/04/2022
The repository contains a set of available data sources to help FIs manage climate-related risks and set climate-related goals and strategies.
HMKA, IA Issue Rules on Use of Premium Financing in Insurance
By Mark Johnston | 06/04/2022
The rules will promote better disclosures and facilitate informed decision-making by customers who intend to use premium financing for life policies.
Securities / Derivatives
HKEX Publishes Testing Guidelines for HKIDR Implementation
By Editors | 04/04/2022
HKEX has published testing guidelines for market participants and intermediaries ahead of the implementation of the new investor identification regime.
Market Infrastructure
HKMA Issues Guidance on Customer Data Protection
By Editors | 04/04/2022
The guidance highlights the need for banks to put in place effective data governance frameworks and control measures to protect their customer data.
Market Infrastructure
HKMA, SFC to Add Calculation Periods to Clearing Rules
By Editors | 03/04/2022
The HKMA and SFC also proposed to add Nomura Financial Products Europe GmbH to the FSP List under the OTC derivatives clearing regime.
Securities / Derivatives
SFC Sets Out Expectations on Complaints Handling Processes
By Editors | 01/04/2022
LCs should set a 7-day timeline for acknowledging receipt of complaints and a 2-month timeline for providing a final response to the complainant.
Hong Kong Enhances, Extends SME Financing Guarantee Scheme
By Editors | 31/03/2022
The maximum loan amount per enterprise under the Special 100% Loan Guarantee will be raised and the maximum repayment period will be extended.
Securities / Derivatives
HKEX Enhances Third Party Clearing Arrangement for HKFE Contracts
By Editors | 31/03/2022
As of Monday, non-clearing participants can appoint more than one general clearing participant to clear and settle HKFE contracts.
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