ADVERTISEMENT
Securities / Derivatives
HK SFC Inquiries Reveal Fund Managers’ Best Execution Failings
By Samuel Riding | 18/09/2017
Investigations of about 250 firms including subsidiaries of US and EU players also find weaknesses in avoiding conflicts of interest and liquidity management.
AML / KYC
Hong Kong’s Changing AML Landscape
By Kane Mak | 13/09/2017
AML/CTF efforts in Hong Kong are gaining momentum as it gears up for the upcoming mutual evaluation by FATF in 2018.
AML / KYC
Taiwan Tightens Securities, Futures Firms’ Internal Control Requirements
By Samuel Riding | 07/09/2017
New regulations will require firms involved in securities and futures markets to set up separate AML/CTF units, boost FSC inspection powers.
AML / KYC
Top CBRC Adviser Flags Failures to Address Operational Risks
By Samuel Riding | 06/09/2017
CBRC chief adviser and former SFC chief Dr Andrew Sheng says regulation risks pro-cyclicality when real economy requires structural change.
AML / KYC
HK SFC, Police Join Forces to Combat Financial Crime
By Samuel Riding | 29/08/2017
Agreement aims to clamp down on financial crime via securities markets; SFC has identified ‘multiple weaknesses’ in broker AML/CTF.
Securities / Derivatives
SFC Flags Irregularities in Private Funds and Discretionary Accounts
By Garima Chitkara | 03/08/2017
Hong Kong securities regulator expresses concerns on the management of private funds and discretionary accounts.
Securities / Derivatives
Rolling in the Regulations for Robo-Advisers
By Kristi Swartz | 01/08/2017
A SFC consultation paper proposes guidelines for robo-advisers to provide accurate, easily comprehensible information to investors.
Enforcement
Hong Kong Regulator ups Penalties Against Individuals
By Garima Chitkara | 01/08/2017
Fines against individuals as opposed to corporates were up in Hong Kong, a 63% increase in fines from the year before.
Securities / Derivatives
HK Auditing Brokers’ Protection of Client Assets
By Editors | 31/07/2017
Regulator cites weaknesses in internal account protection controls despite warnings; IOSCO report says HK due diligence to safeguard client rights […]
HKEX, CSRC and SFC on a Regulatory Collision Course
By Peter Guy | 31/07/2017
Regulatory problems in China market could spill into Hong Kong through HKEX’s new third board.
JOIN OUR NEWSLETTER
An exclusive weekly selection of top stories from the Regulation Asia editorial team.