SECURITIES AND FUTURES COMMISSION

Uncategorised

Fintech – Banks vs. Innovators; Regulation vs. Innovation

By Samuel Riding | 01/06/2016

Finnovasia 2016 panellists suggests its time these two debates were put to bed.

Market Infrastructure

SHFE Applies for HK ATS License

By Samuel Riding | 01/06/2016

Shanghai Futures Exchange platform could initially trade crude oil futures.

AML / KYC

Guotai Junan Fined for Breaching Client ID Rule

By Samuel Riding | 31/05/2016

SFC says securities firm took more than six months to comply with two-day disclosure rule.

Market Infrastructure

HK, US Regulators Agree Mutual Supervision, Oversight

By Samuel Riding | 24/05/2016

SFC and FINRA sign agreement on regulation of entities with cross-border operations.

AML / KYC

SFC to Consult on Investor Identity Disclosure

By Samuel Riding | 23/05/2016

Brokers could be required to disclose identities of individuals making equity trades.

Market Infrastructure

Credit Suisse Fined for Market Integrity Rule Breaches

By Samuel Riding | 20/05/2016

Australian unit fined USD50,000 for failure to have automated trading filters in place to prevent interference with market integrity.

Market Infrastructure

Alder Appointed Chair of IOSCO Board

By Samuel Riding | 13/05/2016

SFC’s chief executive replaces Greg Medcraft.

HSBC Private Bank Fine Breaks New Regulatory Ground

By Peter Guy | 09/05/2016

Hong Kong SFC’s punitive measures are unlikely to make investing safer for advisors or clients.

AML / KYC

HSBC Appeals Mis-selling Fine

By Samuel Riding | 05/05/2016

Private banking unit was hit with HKD605mn SFC fine in July 2015.