SECURITIES AND FUTURES COMMISSION

Moody’s SFC Fine Halved, Ruling Upheld

By Samuel Riding | 01/04/2016

Hong Kong’s Securities and Futures Appeals Tribunal upheld a ruling that a Moody’s Investors Service report was misleading and inaccurate. […]

AML / KYC

Hong Kong Launches New Professional Investor Regime

By Samuel Riding | 28/03/2016

Regime introduces principles-based test for sophistication of corporate professional investors.

SFC Appoints New Head of Enforcement

By Editors | 24/03/2016

Thomas Atkinson to move from Ontario Securities Commission on 3-year term.

Market Infrastructure

SFC Could Follow UK Crowdfunding Regulation Format

By Samuel Riding | 23/03/2016

Hong Kong regulator considering UK-style framework and prospectus exemptions.

Securities / Derivatives

SFC to Propose ‘See-through’ Investor Identification

By Samuel Riding | 10/03/2016

System would allow regulator to see beyond broker transactions to identify instructing investors.

Securities / Derivatives

SFC Cuts Retail Investors from Ownership Principles

By Samuel Riding | 08/03/2016

Only minor changes made to best-practice guidelines after public consultation.

HKEx: In Through the Back Door

By Peter Guy | 07/03/2016

Mainland Chinese buyers are treating the Hong Kong stock exchange like a breeding pen for listed shells.

Market Infrastructure

HKEx Defends Low Entry Level for Listings

By Samuel Riding | 03/03/2016

Chief executive says investors’ ability to exit bad companies more important, warns on shell companies.

Market Infrastructure

SFC Pushes Back ATS Guideline Implementation

By Samuel Riding | 02/03/2016

Hong Kong regulator confirms deferral to coincide with introduction of mandatory OTC clearing.