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Market Infrastructure
HKEX’s New Board a High-stakes, Regulatory Gamble
By Peter Guy | 26/06/2017
Defying critics, proposed board includes platforms for dual class shares and tech start-ups.
Securities / Derivatives
HKFE, SFC Fire off Conduct Warnings to Brokers
By Editors | 23/06/2017
A range of compliance and control issue failures uncovered at securities brokers in Hong Kong has prompted the SFC (Securities […]
Market Infrastructure
Hong Kong SFC Targets ‘Real Time’ Regulation
By Editors | 14/06/2017
Hong Kong’s SFC (Securities and Futures Commission) today (14 June) released its 2016/17 annual report, saying it intends to move […]
AML / KYC
HK Brokers’ Operations Halted for Allegedly Handling Proceeds of Crime
By Editors | 13/06/2017
Hong Kong’s SFC (Securities and Futures Commission) issued a restriction notice on a foreign exchange broker amid concerns money it […]
Fintech / Regtech
More Fintech Regulatory Coordination Needed – ASIFMA
By Editors | 12/06/2017
MAS (the Monetary Authority of Singapore) inked an agreement with ASBA (the Association of Supervisors of Banks of the Americas) […]
Market Infrastructure
CFETS, HKEX Set up Bond Connect JV
By Editors | 08/06/2017
CFETS (the China Foreign Exchange Trade System) and HKEX (Hong Kong Exchanges and Clearing) announced the formation of a Hong […]
30 FIs to Join HK Cybersecurity Crisis Drill
By Editors | 08/06/2017
Thirty of the top financial institutions in Hong Kong have signed up to an upcoming cybersecurity crisis drill, it was […]
Securities / Derivatives
Get Ready for Expanded OTC Derivatives Reporting – SFC
By Editors | 05/06/2017
The Hong Kong SFC (Securities and Futures Commission) issued a circular telling licensed corporations to ensure their systems are prepared […]
AML / KYC
HK Regulator, Police, Banks Set up Financial Crime Taskforce
By Editors | 28/05/2017
12-month pilot to work on ‘detection, prevention and disruption’; HKMA also joins Financial Security Expert Alliance with PBOC, Macau central bank.
Market Infrastructure
HK Market Infrastructures Pass CPMI-IOSCO Test With Aplomb
By Samuel Riding | 25/05/2017
Study confirms frameworks for payment and securities settlement systems, CCPs and trade repositories meet PFMI.
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