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AML / KYC
Revised HKMA Guidelines on AML/CFT to Take Effect from November
By Editors | 22/10/2018
The Guidelines are set to take effect from 1 November for authorised institutions and stored value facilities. The HKMA has also published its policy and supervisory approach.
Crypto / Digital Assets
Hong Kong Seeks Formal Rules for Cryptocurrency: Outgoing SFC Chief
By Garima Chitkara | 16/10/2018
The SFC does not think a total ban on crypto platforms is the right approach and is exploring formal rules for existing operators, outgoing chairman Carlson Tong told SCMP.
AML / KYC
SFC AML/CFT Guideline Revisions to Take Effect in November
By Editors | 15/10/2018
A July consultation proposed amendments to improve the Guideline’s usefulness and relevance and ensure its alignment with international AML/CFT standards.
Enforcement
SFC Ramps Up Enforcement Against Capital Market Abuse
By Manesh Samtani | 12/10/2018
Life is about to get very uncomfortable for those who abuse Hong Kong’s capital markets, said the SFC’s Thomas Atkinson at the 2018 Refinitiv Pan Asian Regulatory Summit.
Market Infrastructure
SFC Fund Manager Code of Conduct Compliance Checklist
By Derek McGibney | 11/10/2018
With the SFC’s FMCC compliance deadline about one month away, fund managers need to have key components in place, says Cordium’s Derek McGibney.
AML / KYC
Technology, Multi-Agency Cooperation in Focus at HKMA
By Manesh Samtani | 11/10/2018
At the Refinitiv Pan Asian Regulatory Summit, HKMA’s Carmen Chu discussed how technology and cooperation with authorities contributes to a safe and clean financial centre.
Market Infrastructure
HKEX to Roll Out Nasdaq Real-Time Risk Technology
By Manesh Samtani | 10/10/2018
The technology provides HKEX with a single point-of-entry for risk management across its markets and enables CCPs more efficient operations and regulatory compliance.
Enforcement
SFC to ‘Vigorously Pursue’ Individuals Culpable for Misconduct
By Manesh Samtani | 10/10/2018
The SFC will do “whatever it takes” to tackle capital markets misconduct, said deputy chief executive Julia Leung at the 2018 Refinitiv Pan Asian Regulatory Summit.
Securities / Derivatives
Hong Kong, UK Sign Mutual Recognition of Funds Agreement
By Manesh Samtani | 09/10/2018
The agreement allows eligible funds in Hong Kong and the UK to be distributed in each other’s market through a streamlined process.
Market Infrastructure
New Platform for Northbound Trading Set for Mid-2019 – HKEX
By Editors | 08/10/2018
New information paper presents an overview of the migration of HKEX technology infrastructure for northbound trading under Stock Connect.
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