SECURITIES AND FUTURES COMMISSION

Market Infrastructure

HK Issues OTC Clearing Revisions

By Samuel Riding | 15/07/2016

HKMA and SFC consultation conclusions add further proposed revisions.

Market Infrastructure

Hong Kong Enacts Resolution Ordinance

By Samuel Riding | 03/07/2016

Financial Institutions Ordinance establishes HKMA and SFC as resolution authorities.

Securities / Derivatives

SFC Ticks Off BAML for Disclosure Failings

By Samuel Riding | 30/06/2016

Units publicly censured for breaching takeovers code regarding dealing in two stocks.

SFC Calls for Tougher Action on Structured Products

By Samuel Riding | 27/06/2016

Regulator says SEHK should take ‘more severe regulatory action’ on active quote requirements.

AML / KYC

Hong Kong Code of Conduct Breaches Surge

By Samuel Riding | 23/06/2016

SFC Annual Report also reveals sharp rise in AML breaches.

Market Infrastructure

SFC, HKEx Issue Consultation on Listing Regulation

By Samuel Riding | 20/06/2016

Regulator and stock exchange propose changes to decision-making, governance structure.

Securities / Derivatives

HK SFC Planning Fund Liquidity Rules

By Editors | 17/06/2016

Regulators’ increasingly concerned about role of investment funds as source of systemic risk.

Uncategorised

Regulation and the Buy Side’s Role in Liquidity

By Samuel Riding | 16/06/2016

Asian regulators are starting to consider how to minimise the risks in investment funds’ growing role as market makers.

Market Infrastructure

State Street Fined Over Management of HK Tracker

By Samuel Riding | 16/06/2016

Cash balances in related party’s demand deposit accounts earned no interest over 4.5 years.