SECURITIES AND FUTURES COMMISSION

HK to Introduce Key Manager Regime

By Samuel Riding | 30/11/2016

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

Uncategorised

Regtech in Asia – Regulators Playing Catch-up

By Samuel Riding | 29/11/2016

Regulators appear to be lagging behind market infrastructure and institutions in using technology.

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.

Market Infrastructure

SZ-HK Stock Connect to Start 5 December

By Samuel Riding | 28/11/2016

Accompanying rules aim to curb cross-border illegal activity, market misconduct.

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.

Market Infrastructure

IOSCO Appoints Quintet of APAC Regulators to Top Roles

By Samuel Riding | 23/11/2016

SEBI officials appointed as committee chairs; Australia, HK and Malaysia regulators as vice chairs.

Capital / Liquidity

HK Launches Resolution Consultation

By Samuel Riding | 23/11/2016

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

Market Infrastructure

CSRC ‘Punishes’ Investor for Illegal Stock Connect Trading

By Samuel Riding | 21/11/2016

Regulator has recently warned of market manipulation; Shenzhen-HK link due to launch this month

HK SFC Bans Ex-Deutsche Securities Trader

By Samuel Riding | 18/11/2016

Ban follows Korean order to repay $36.95mn of illegal profit from stock index trades.