Securities and Futures Commission

Market Infrastructure

Hong Kong Extends Listing Regulation Consultation

By Samuel Riding | 12/09/2016

Proposal to give SFC more say has prompted claims it will reduce HK’s appeal as an IPO destination.

CME Granted Hong Kong CCP Status

By Samuel Riding | 08/09/2016

6 September, 2016 – CME Group announced that Chicago Mercantile Exchange Inc. has been granted authorization to provide OTC clearing […]

SFC Bans Former HSBC Sales Staff

By Samuel Riding | 08/09/2016

Duo claimed commissions on fictitious unit trust sales.

SFC Reprimands, Fines BNP Paribas

By Samuel Riding | 01/09/2016

Regulator says bank overcharged on equities, bonds, structured products, options, swaps and funds.

Market Infrastructure

SFC Approves 4 CCPs for OTC Clearing

By Samuel Riding | 01/09/2016

Mandatory clearing covers HKD- or G4 currency-denominated interest rate swaps.

AML / KYC

India, Abu Dhabi Regulators Ink Cooperation Pact

By Samuel Riding | 26/08/2016

SEBI has already signed 22 MoUs with other regulators; sent 44 assistance request to other jurisdictions in 2015/16.

Market Infrastructure

SFC Reprimands Morgan Stanley, Issues USD2.4mn Fine

By Samuel Riding | 25/08/2016

US bank’s Hong Kong securities operation says to review internal controls to ensure compliance.

Hong Kong Turf War Heats Up

By Peter Guy | 22/08/2016

SFC, HKEX consultation reveals fundamental conflict between legal enforcement and listing approval.

Market Infrastructure

HK-Shenzhen Stock Connect to Launch in December

By Samuel Riding | 17/08/2016

China, Hong Kong regulators approve link; total daily quota set at USD3.5 billion.