SECURITIES AND FUTURES COMMISSION

Asian Banks, Investors Request Notice on Cross-Border Stock Trade

By Editors | 23/10/2014

Regulatory concerns surrounding the Shanghai-Hong Kong stock connect including the issue of tax on share gains have compelled asset managers and banks to ask the city’s regulator for a month’s notice before implementing the cross-border stock scheme.

Hong Kong, China Sign Cooperation Ahead of Cross-border Stock Scheme

By Editors | 20/10/2014

The Securities and Futures Commission and the China Securities Regulatory Commission have signed an agreement to strengthen cross-boundary regulatory and enforcement cooperation ahead of the implementation of the Shanghai-Hong Kong Stock Connect scheme.

Shanghai-Hong Kong Stock Connect is a Breakthrough for Direct Access to China Stocks

By Editors | 14/10/2014

Solutions to meet the challenges and deliver opportunities.

Hong Kong Regulator Warns Against Short Position Reporting Lapses

By Editors | 09/10/2014

The Securities and Futures Commission has warned against inaccurate reports and late filing on short positions, noting that a contravention of rules without a reasonable excuse may constitute a criminal offence.

Ashley Alder Appointed to Second Term as SFC CEO

By Editors | 26/09/2014

Ashley Alder has been appointed for a second three-year term as chief executive of the Securities and Futures Commission.

Hong Kong Regulator Seeks Tougher Vetting Rules for GEM Companies

By Editors | 18/09/2014

The Securities and Futures Commission is recommending that the the city’s stock exchange tighten its vetting process for Growth Enterprise Market-listed (GEM) companies that seek listing on the main board.

Hong Kong Cuts Transaction Levies on Securities

By Editors | 02/09/2014

Hong Kong Exchanges and Clearing (HKEx) said it will cut levies imposed on transactions in its markets on behalf of the Securities and Futures Commission from November.

Hong Kong Regulator Reiterates IPO Sponsor Liability

By Editors | 26/08/2014

The Securities and Futures Commission has reaffirmed that sponsors of initial public offerings (IPO), particularly banks that prepare companies for a Hong Kong listing, are criminally liable for defective prospectuses.

Hong Kong Regulator Issues Quarter to June Report

By Editors | 21/08/2014

The Securities and Futures Commission issued its quarter to June report detailing accomplishments that included the release of a regulatory framework for the over-the-counter derivatives market, and the announcement of a cross-border stock market scheme between Hong Kong and Shanghai.