Hong Kong

Market Infrastructure

HK, UK Sign Fintech Agreement

By Samuel Riding | 07/12/2016

Regulators will collaborate on ‘experience sharing’, information exchange.

Market Infrastructure

HK, Switzerland Agree Mutual Recognition of Funds

By Samuel Riding | 04/12/2016

Agreement to allow cross-border sales includes rules on equal treatment of investors.

Market Infrastructure

SFC Mandates Online Submission of Licensee Documentation

By Samuel Riding | 30/11/2016

Paper filing by individual applicants and licensees will not be allowed from 1 February 2017.

HK to Introduce Key Manager Regime

By Samuel Riding | 30/11/2016

Registration set to include ‘hundreds of executives in support functions’.

Securities / Derivatives

HK Regulators to Brief on OTC Derivatives Reporting

By Samuel Riding | 29/11/2016

Sessions aim to brief firms on their obligations before 1 July 2017 implementation.

HK Regulator to Tighten Asset Manager Rules

By Samuel Riding | 24/11/2016

Proposals aim to align HK with international standards; protect investors and market integrity.

Capital / Liquidity

HK Launches Resolution Consultation

By Samuel Riding | 23/11/2016

Rules aim to impose ‘suitably tailored constraints’ on resolution authorities.

Market Infrastructure

HKMA Eases Internet Banking Rules

By Samuel Riding | 21/11/2016

Increased transaction limit comes with warning on controls and customer education.

JPMorgan Paying $264mn to Settle ‘Princelings’ Case

By Samuel Riding | 18/11/2016

US SEC says hiring of interns and other staff in Asia breached corruption act.