Hong Kong

HK SFC’s Case Completions Surge

By Samuel Riding | 17/02/2017

Regulator completes nearly 40% more investigations in 9M16; sharp fall in criminal charges laid.

Market Infrastructure

HK SFC Joins Blockchain Consortium

By Samuel Riding | 15/02/2017

Regulator to test blockchain-backed securities and futures transactions.

Ex-HSBC Employee Banned for Life

By Samuel Riding | 14/02/2017

SFC says Li Lee not fit and proper to be licensed following criminal convictions.

Market Infrastructure

HKEX Appoints Group General Counsel

By Samuel Riding | 14/02/2017

Ferheen Mahomed will serve as legal department head, monitor LME, LME Clear.

Market Infrastructure

HK SFC Reprimands, Fines Forex Firm

By Samuel Riding | 10/02/2017

Firm’s neglect of regulatory standards affected prices in about 240 transactions.

AML / KYC

HK Freezes Assets in Insider Dealing Probe

By Samuel Riding | 06/02/2017

Court grants SFC request to stop suspects transferring $3.3 million out of Hong Kong.

Market Infrastructure

HK Announces OTC Derivatives Reporting Tests

By Samuel Riding | 30/01/2017

Licensed corporations need to complete tests by the end of May.

AML / KYC

HK Regulator Details AML/CTF Failures

By Samuel Riding | 27/01/2017

SFC identified 200 instances of non-compliance during 2016 inspections.

Market Infrastructure

HK Brokers Blackmailed by DDoS Attackers – SFC

By Samuel Riding | 27/01/2017

Regulator urges firms to implement anti-DDoS systems, warns on ‘reflective amplification’ attacks.