Regulations
Latest News - Page 3
SFC, CSRC approve two ETFs cross-listings
June Regulatory Round-up: MAS quashes fund flow rumours; WM Connect launches; PBs in HK ramp up bespoke deal record-keeping
Fund managers seek regulatory clarity before committing to GBA growth strategies
May Regulatory Round-up: Regulators come to the defence of Hong Kong; HKMA reviews incentive structures; Increased demand for fully remote onboarding
MAS calls news of large fund flows from Hong Kong to Singapore “incorrect”
April Regulatory Round-up: PBs in spotlight as clients face losses; MAS aligns with Hong Kong on suitability; China loosens overseas JV ownership rules
March Regulatory Round-up: SFC postpones regulatory deadlines; Asian banks eager to close gap in AML compliance; Force majeure clause may affect PB trading contracts; Regulators scrutinise price transparency at PBs
SFC urges skillful management of fund liquidity in view of market volatility
SFC introduces Limited Partner Fund regime to woo offshore PE funds
February Regulatory Round-up: Regulators aim to soften COVID-19 impact; MAS faults PBs for overcharging clients; China’s largest AML fine; Hong Kong beefs up privacy protection
SFC to enhance open-ended fund company scheme after muted response
Regulatory trends in 2019
SFC prods asset managers on climate change risks
November Regulatory Round-up: Final judgment on scope of “anti-Bartlett” clause; UBS fined for spread overcharges; Regulators launch AI frameworks as bank adoption increases
HK regulators redesigning city as Asia’s preferred AM hub
SFC warns against misuse of private funds and discretionary accounts
October Regulatory Round-up: HK prepped for economic downturn; PB dual role of advisor and trustee comes into question; China continues to open onshore market
AMC suitability needs to be assessed on a “case by case” basis: Simmons & Simmons
September Regulatory Round-up: Banks warned on liquidity risks; China removes quota control on two schemes
Fund liquidity risk management is key amid increasing volatility: SFC
July Regulatory Round-up: SFC notes 2% drop in 2018 PWM AUM; HKMA guidance on loss-absorption products stirs uncertainty; China encourages foreign participation in onshore financial industry
Regulatory differences emerge between Hong Kong, EU suitability rules
June Regulatory Round-up: New FAQs on suitability requirements; SFC fines Credit Suisse for disclosure misconduct; FATF releases HK AML evaluation
May Regulatory Round-up: “Vague” rules cause compliance complications; Concerns over new misconduct reporting laws; Revamp fintech, processes to achieve compliance
SFC inks MoU with the Netherlands on mutual recognition of funds
April Regulatory Round-up: APAC regulators maintain AML focus; bank culture requires practical enforcement; concerns over conflicting cross-border regulations
China Regulatory Round-up: Reforms impact HNW client product preference
SFC, CSRC approve two ETFs cross-listings
June Regulatory Round-up: MAS quashes fund flow rumours; WM Connect launches; PBs in HK ramp up bespoke deal record-keeping
Fund managers seek regulatory clarity before committing to GBA growth strategies
May Regulatory Round-up: Regulators come to the defence of Hong Kong; HKMA reviews incentive structures; Increased demand for fully remote onboarding
MAS calls news of large fund flows from Hong Kong to Singapore “incorrect”
April Regulatory Round-up: PBs in spotlight as clients face losses; MAS aligns with Hong Kong on suitability; China loosens overseas JV ownership rules
March Regulatory Round-up: SFC postpones regulatory deadlines; Asian banks eager to close gap in AML compliance; Force majeure clause may affect PB trading contracts; Regulators scrutinise price transparency at PBs
SFC urges skillful management of fund liquidity in view of market volatility
SFC introduces Limited Partner Fund regime to woo offshore PE funds
February Regulatory Round-up: Regulators aim to soften COVID-19 impact; MAS faults PBs for overcharging clients; China’s largest AML fine; Hong Kong beefs up privacy protection
SFC to enhance open-ended fund company scheme after muted response
Regulatory trends in 2019
SFC prods asset managers on climate change risks
November Regulatory Round-up: Final judgment on scope of “anti-Bartlett” clause; UBS fined for spread overcharges; Regulators launch AI frameworks as bank adoption increases
HK regulators redesigning city as Asia’s preferred AM hub
SFC warns against misuse of private funds and discretionary accounts
October Regulatory Round-up: HK prepped for economic downturn; PB dual role of advisor and trustee comes into question; China continues to open onshore market
AMC suitability needs to be assessed on a “case by case” basis: Simmons & Simmons
September Regulatory Round-up: Banks warned on liquidity risks; China removes quota control on two schemes
Fund liquidity risk management is key amid increasing volatility: SFC
July Regulatory Round-up: SFC notes 2% drop in 2018 PWM AUM; HKMA guidance on loss-absorption products stirs uncertainty; China encourages foreign participation in onshore financial industry
Regulatory differences emerge between Hong Kong, EU suitability rules
June Regulatory Round-up: New FAQs on suitability requirements; SFC fines Credit Suisse for disclosure misconduct; FATF releases HK AML evaluation
May Regulatory Round-up: “Vague” rules cause compliance complications; Concerns over new misconduct reporting laws; Revamp fintech, processes to achieve compliance
SFC inks MoU with the Netherlands on mutual recognition of funds
April Regulatory Round-up: APAC regulators maintain AML focus; bank culture requires practical enforcement; concerns over conflicting cross-border regulations
