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Hong Kong Court Orders EY to Submit Accounting Records to SFC
By Editors | 26/05/2014
A Hong Kong court has ordered accounting firm Ernst & Young (EY) to produce accounting records relating to its work for Standard Water Ltd, rejecting the firm’s argument that the mainland’s state secrets law prevents it from handing over information to the city’s securities regulator.
HK Regulator Reprimands, Fines Deutsche Bank for Regulatory Breaches
By Editors | 23/05/2014
The Securities and Futures Commission (SFC) has reprimanded and fined Deutsche Bank HK$1.6 million for regulatory breaches and internal control failings.
Hong Kong Regulator Reprimands Citigroup on Algorithm Error
By Editors | 15/05/2014
The Securities and Futures Commission (SFC) has reprimanded Citigroup Global Markets Asia Limited (Citigroup) for failing to ensure its algorithmic trading systems functioned property for certain securities orders between April 2009 and May 2010.
Hong Kong Regulator Outlines Crowd-funding Risks, Regulatory Issues
By Editors | 08/05/2014
Crowd-funding that allows people to raise money for loans, causes, or projects through the web pose potential regulatory compliance issues and other investment risks.
China, Hong Kong Approve Cross-Border Stock Investment
By Editors | 10/04/2014
The Securities and Futures Commission and the China Securities Regulatory Commission have given their go-ahead to the Shanghai-Hong Kong Stock Connect program.
EY Hires Former Goldman Regulatory Chief for Asia-Pacific Financial Services Office
By Editors | 25/03/2014
Global auditing and advisory firm EY has recruited a former Goldman Sachs regulatory and compliance chief as regulatory services leader for Asia-Pacific FSO.
Hong Kong Regulator Waives Annual Licensing Fee
By Editors | 17/03/2014
The Securities and Futures Commission (SFC) has waived the payment of annual licensing fees for market participants for another two-year period.
Hong Kong Exchange’s Chief Li Seeks Reform
By Editors | 16/03/2014
Hong Kong stock exchange chief executive Charles Li said regulators should find ways to make the city attractive for initial public offerings by new economy and technology companies.
Hong Kong Securities Regulator Amends Takeovers and Mergers Code
By Editors | 04/03/2014
The Securities and Futures Commission has amended the Codes on Takeovers and Mergers and Share Repurchases to bring them in line with the Companies Ordinance.
Securities / Derivatives
Algorithmic Electronic Trading in APAC
By Editors | 03/03/2014
Algorithmic electronic trading strategies in Asia appear to be poised for continued growth; however, more consistent regulatory regimes are required to promote further development of the market.
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