Securities and Futures Commission

HSBC Private Bank Fine Breaks New Regulatory Ground

By Peter Guy | 09/05/2016

Hong Kong SFC’s punitive measures are unlikely to make investing safer for advisors or clients.

AML / KYC

HSBC Appeals Mis-selling Fine

By Samuel Riding | 05/05/2016

Private banking unit was hit with HKD605mn SFC fine in July 2015.

Market Infrastructure

ECC HK Calls for Study on APAC Impact of EU Fund Rules

By Samuel Riding | 15/04/2016

Chamber of Commerce in Hong Kong also seeking equivalency for EU and Asian fund passporting regimes.

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.