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AML / KYC
HK Freezes Assets in Insider Dealing Probe
By Samuel Riding | 06/02/2017
Court grants SFC request to stop suspects transferring $3.3 million out of Hong Kong.
Market Infrastructure
HK Announces OTC Derivatives Reporting Tests
By Samuel Riding | 30/01/2017
Licensed corporations need to complete tests by the end of May.
AML / KYC
HK Regulator Details AML/CTF Failures
By Samuel Riding | 27/01/2017
SFC identified 200 instances of non-compliance during 2016 inspections.
Market Infrastructure
HK Brokers Blackmailed by DDoS Attackers – SFC
By Samuel Riding | 27/01/2017
Regulator urges firms to implement anti-DDoS systems, warns on ‘reflective amplification’ attacks.
HK SFC Reprimands, Fines Asset Manager
By Samuel Riding | 26/01/2017
Regulator concludes Value Partners exceeded authorised share capital, failed to report incident in good time.
Market Infrastructure
HK SFC Eyes ‘Unusual Volatility’ on GEM
By Samuel Riding | 23/01/2017
New guidelines aim to address ‘unusual high volatility’ on listed GEM securities.
AML / KYC
HK, US Regulators Agree Cross-Border Monitoring
By Samuel Riding | 20/01/2017
Agreement covers cooperation on license exemptions and on-site visits for financial infrastructures and firms.
HK Firms Appointing Juniors as Responsible Officers – SFC
By Samuel Riding | 20/01/2017
Executive director for intermediaries defends Manager-in-Charge regime.
HK SFC Sues StanChart, UBS for IPO ‘Misconduct’
By Samuel Riding | 18/01/2017
Case relates to timber company now in liquidation, delisting due to accounting irregularities.
HK Court Rejects Citron Appeal
By Samuel Riding | 16/01/2017
Court says Left’s application to appeal not on time, would not have succeeded anyway.
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