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Market Infrastructure
HKEX, SFC Extend HKIDR Testing Period Until 5 August
By Editors | 18/07/2022
Firms that have not completed the mandatory E2E Test yet are reminded to complete the test “as soon as possible”.
HKMA Issues Bank Guidance on Selling Protection Linked Plans
By Editors | 12/07/2022
Banks should discuss their plans for selling PLP with the HKMA and the details of pre-implementation reviews conducted by an independent party.
Securities / Derivatives
Alder to Leave SFC to Take Up Role as FCA Chair
By Editors | 08/07/2022
Ashley Alder became the SFC’s CEO in October 2011. His new appointment as chair of the UK FCA will start in January 2023.
Securities / Derivatives
FIA Highlights Challenges of HKEX Position Limits Proposals
By Sanday Chongo Kabange | 07/07/2022
The introduction of two more tiers in the position limit regime for single stock options and futures would bring additional operational challenges for exchange participants.
Enforcement
Hong Kong Police Arrest Eight in Joint Operation With SFC
By Editors | 06/07/2022
The joint operation involved a loan granted by a listed company to a related party and payments purportedly made to suppliers that instead went to related parties.
Market Infrastructure
Hong Kong, China to Launch ‘Swap Connect’ in Six Months
By Sanday Chongo Kabange | 05/07/2022
Swap Connect will initially enable Hong Kong and international investors to trade in Mainland interest rate swaps, and potentially other derivatives in futures.
ESG / Sustainability
SFC Reviewing Market Practices to Guard Against Risk
By Manesh Samtani | 30/06/2022
Reviews underway cover concentration risk in OTC derivatives markets, risk management at futures brokers, and block trading practices.
Securities / Derivatives
ETFs to Be Included in Stock Connect Starting 4 July
By Editors | 29/06/2022
The relevant rules and operational and regulatory arrangements have been finalised and technical systems have been put in place.
Enforcement
SFC Fines CES Capital for Fund Management Failures
By Editors | 28/06/2022
CES Capital International failed to perform sufficient due diligence and monitoring of the underlying investments of two funds.
Securities / Derivatives
HKMA, SFC to Proceed With Changes to FSP List
By Editors | 27/06/2022
One new entity, Nomura Financial Products Europe GmbH, is being added to the FSP List under the OTC derivatives regime.
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