SECURITIES AND FUTURES COMMISSION

Hong Kong Scraps Dual-Class Shares Plan

By Samuel Riding | 05/10/2015

SFC objects, saying proposals would damage reputation of Hong Kong’s regulatory system.

Hong Kong SFC Chairman Carlson Tong Reappointed

By Editors | 05/10/2015

The Securities and Futures Commission has reappointed Carlson Tong as its chairman for a term of three years effective from October 20, 2015.

HKMA-SFC Consult on Mandatory Clearing and Reporting for OTC Derivatives

By Editors | 01/10/2015

Consultation paper introduces first phase of mandatory clearing and second phase of mandatory reporting under new OTC regime.

HKEx Announces CCASS Service Enhancements

By Editors | 21/09/2015

HKEx has announced the introduction of further CCASS service enhancements relating to Shanghai-Hong Kong Stock Connect in two stages, subject to SFC approval.

Regulatory Crackdown on Moody’s Discourages Tough Analysis on China Companies

By Peter Guy | 21/09/2015

Hong Kong’s securities regulator takes an ominous and non-transparent move that will affect how analysts scrutinise local and mainland enterprises.

IOSCO Publishes Report on Cross-Border Regulation

By Editors | 20/09/2015

Final report published from the IOSCO Task Force on Cross-Border Regulation.

SFC Reveals Direct Pathway for HK Brokers to Deal with US Customers

By Editors | 17/08/2015

Hong Kong’s Securities and Futures Commission has issued a circular describing the application procedure for certain licensed corporations to deal directly with customers in the United States.

SFC Fines BNP Paribas HK$15m for Dark Pool Failures

By Editors | 04/08/2015

SFC fines BNP Paribas HK$15m for failing to properly prioritise client orders in matching and obtain their consent in relation to its dark liquidity pool trading services.

Nomura Hong Kong Fined for Disclosure Failings

By Editors | 31/07/2015

SFC fines Nomura Hong Kong HK$4.5 million for failing to promptly report trading misconduct by one of its traders.