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Regulation

SFC Updates Criteria for Professional Investors in Hong Kong

  • Holding companies that fully own corporations registered as professional investors can now qualify for the status.
Friday, 13/07/2018 | 08:22 GMT by Celeste Skinner
Regulation

SFC to Amend the Guideline of AML and Counter-Terrorist Financing

  • The Hong Kong regulator has launched a consultation paper and gives market participants until August to reply.
Thursday, 05/07/2018 | 11:06 GMT by Celeste Skinner
Regulation

SFC Updates its OTC Derivatives Regulation

  • Legal entity identifiers will not become mandatory but their use will expand
Wednesday, 27/06/2018 | 15:39 GMT by David Kimberley
Regulation

SFC Received Record Complaints for Scams, Fraud, and Market Conduct in 2017

  • Complaints against intermediaries and market activities were up by almost 16 percent compared to the previous year.
Wednesday, 27/06/2018 | 08:22 GMT by Celeste Skinner
Regulation

SFC Set to Adopt BCBS-IOSCO Rules on Non-Centrally Cleared OTC Derivatives

  • The Hong Kong regulator issued a consultation paper today and will give respondents two months to reply
Tuesday, 19/06/2018 | 07:52 GMT by David Kimberley
News

SFC Forms FinTech Partnership with Abu Dhabi Regulator

  • The announcement comes as regulators across the globe attempt to get a handle on FinTech developments
Wednesday, 06/06/2018 | 12:31 GMT by David Kimberley
Regulation

SFC Signs Memorandum of Understanding with German Regulator

  • The deal will see the two regulators sharing an increasing amount of information
Friday, 01/06/2018 | 13:03 GMT by David Kimberley
Regulation

SFC Fines Hang Seng Investment HK$3 Million for Regulatory Failings

  • The firm failed to pay adequate interest on a number of its funds' cash deposits
Thursday, 31/05/2018 | 12:32 GMT by David Kimberley
Regulation

SFC Fines Investment Manager HK$5 Million Over Risk Assessment Failures

  • The Hong Kong regulator says Noah Holdings failed to adequately assign risk appetite to investors
Tuesday, 29/05/2018 | 09:53 GMT by David Kimberley
Exchanges

SFC Fines Citigroup Global Markets HK$57 Million Over Listing Application

  • The Hong Kong regulator claims Citigroup did not perform required due diligence on a Chinese gold mining firm
Thursday, 17/05/2018 | 10:08 GMT by David Kimberley
Regulation

SFC Issues Bulletin Warning Against Criminal License Applications

  • The Hong Kong regulator also provided updates on Manager-In-Charge Regulation
Wednesday, 16/05/2018 | 09:52 GMT by David Kimberley
Regulation

SFC Signs on to IOSCO's Cross-Border Regulation Plans

  • Signatories to the EMMoU will be able to extend their regulatory reach across the globe
Friday, 11/05/2018 | 12:21 GMT by David Kimberley
Regulation

Hong Kong's SFC Proposes Changes to Investor Compensation Regime

  • A new consultation paper suggests raising the compensation limit from $150,000 to $500,000
Friday, 27/04/2018 | 11:40 GMT by David Kimberley
Regulation

SFC Issues $1M Fine to CN Capital Over Regulatory Breaches

  • Senior officers at company breached core principle of giving clients priority and avoiding conflicts of interest
Tuesday, 24/04/2018 | 21:32 GMT by Bogdan Kagan
Regulation

UBS Securities Asia Limited Reprimanded and Fined $4.5 Million by SFC

  • The SFC has responded to UBS’ failures to record transactions and client consents regarding its facilitation trading activities.
Wednesday, 21/03/2018 | 12:30 GMT by Finance Magnates Staff
News

Hong Kong Securities Watchdog Halts ICO of Black Cell

  • For the first time, the SFC names the blockchain-based company that it has taken action against.
Monday, 19/03/2018 | 13:40 GMT by Arnab Shome
Regulation

SFC Restricts Interactive Brokers HK on Accounts Linked to Insider Trading

  • The restriction is in response to suspected insider dealing in the shares of Bloomage BioTechnology Corporation.
Friday, 09/03/2018 | 12:04 GMT by Finance Magnates Staff
Brokers

Exclusive: Multibank Exchange Scores Unprecedented Victory Against Hong Kong SFC

  • A previously issued alert against the company has been cancelled by the SFC.
Monday, 05/03/2018 | 11:07 GMT by Victor Golovtchenko
Regulation

SFC Reprimands, Fines Interactive Brokers Hong Kong

  • SFC said Interactive Brokers had been co-‎operative during its investigation.‎ ‎
Wednesday, 14/02/2018 | 22:10 GMT by Aziz Abdel-Qader
Regulation

SFC Fines Credit Suisse $39m for Multiple Regulatory Lapses

  • The bank's self reporting measures and cooperation with the SFC helped avert an even larger fine.
Thursday, 08/02/2018 | 10:10 GMT by Jeff Patterson
Brokers

Blackwell Global Acquires SFC Asset Management License

  • The company continues to expand its available services to retail and institutional clients.
Tuesday, 23/01/2018 | 12:08 GMT by Finance Magnates Staff
Regulation

FXCM Asia Limited Draws Additional Fine from SFC

  • Multiple regulatory breaches and internal accounting failures by the group prompted a $256,180 fine.
Wednesday, 13/12/2017 | 11:01 GMT by Jeff Patterson
Brokers

SFC Slaps Brokerage Executive with Lifetime Ban for Defrauding Clients

  • Before his fraudulent actions, Shing had a clean disciplinary record with the commission.
Thursday, 23/11/2017 | 21:02 GMT by Aziz Abdel-Qader
Regulation

Hong Kong Fines HSBC $51m, Revokes License for Selling Lehman-Related Notes

  • The fine is the largest ever imposed by the SFC.
Tuesday, 21/11/2017 | 18:24 GMT by Aziz Abdel-Qader
Regulation

Hong Kong’s SFC Warns Against Yet Another Unauthorised Firm

  • The SFC routinely warns about such scams operating in Hong Kong.
Thursday, 09/11/2017 | 12:49 GMT by Aziz Abdel-Qader
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