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Enforcement
SFC Permanently Bans Ex-HSBC Employee Over Bribery Convictions
By Editors | 02/03/2022
The former vice president accepted gifts as inducements to handle credit applications and maintain the credit facilities for two companies controlled by a client.
Securities / Derivatives
SFC, HKMA Launch Joint Review of Investment Product Selling Practices
By Editors | 02/03/2022
The review’s objectives are to assess intermediaries’ compliance with requirements to perform product due diligence, conduct suitability assessments and provide information to clients.
AML / KYC
The SFC Approach to Virtual Assets Prioritises Investor Protection
By Manesh Samtani | 28/02/2022
Since 2018, the steps taken by the SFC to regulate the virtual asset space have prioritised investor protection, first and foremost.
Market Infrastructure
HK Budget Includes More Borrower Relief, Capital Market Reforms
By Manesh Samtani | 23/02/2022
Finance Secretary Paul Chan announced measures to further reform Hong Kong’s listing rules, promote the bond market, and introduce yuan share trading in the city.
Securities / Derivatives
SFC Confirms Plans to Regulate Fund Trustees, Custodians
By Manesh Samtani | 23/02/2022
A new regulated activity (RA 13) will be introduced which will subject trustees and custodians of public funds to licensing requirements and ongoing regulatory supervision.
Fintech / Regtech
HKMA, PBOC Invite Firms to Test Fintech Initiatives Across GBA
By Editors | 21/02/2022
The objective of the link is to provide a “one-stop platform” to allow FIs and technology firms to pilot test their cross-boundary fintech initiatives, concurrently in Hong Kong and GBA cities.
ESG / Sustainability
Interconnected Data: A Strategic Approach to Regulatory Compliance
By Bradley Foster | 14/02/2022
Bradley Foster and Murat Bozdemir discuss the need to have a strategic data framework in place to ensure regulatory compliance and set out operational best practices for the road ahead.
HKMA Further Extends Initiative to Nurture Banking Sector Talent
By Editors | 09/02/2022
The Banking Talent Programme provides fresh grads with short-term work opportunities and professional training, partly subsidised by the HKMA.
Fintech / Regtech
China Showcases CBDC at Beijing Winter Olympics
By Sanday Chongo Kabange | 08/02/2022
Observers say China’s “zero Covid policy” has limited its ability to showcase the e-CNY to a wider population.
AML / KYC
Crypto Prepares for a Regulated Future
By David Liu | 07/02/2022
As crypto goes mainstream, regulatory compliance will require robust and financial institution-grade AML and KYC processes, says David Liu.
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