In this round-up: SFC fines UBS over multiple reg breaches; Hong Kong and Singapore regulators promote use of AML regtech; China strikes balance between inclusive growth and foreign investment SFC fines UBS over multiple reg breaches The Hong Kong Securities and Futures Commission (SFC) fined UBS AG and UBS Securities Asia Limited (UBSSAL) a total of HK$11.55 million for breaches…
August Regulatory Round-up: SFC fines UBS over multiple reg breaches; HK and SG regulators promote use of AML regtech; China strikes balance between inclusive growth and foreign investment
27 August 2021

Share article
Share article
Related News

February Regulatory Round-up: HKMA urges banks to implement vaccine passports
8 March 2022

January Regulatory Round-up: Concerns over hype surrounding crypto-assets
15 February 2022

December Regulatory Round-up: HKMA raises banks’ awareness of climate risks; HK, S’pore regulators join forces in curbing ramp-and-dump schemes; Singapore and China widen financial cooperation
3 January 2022

November Regulatory Round-up: Strict HK regs limit crypto and SPAC activities for FOs; Tighter AML rules affect PB client onboarding; FI executives’ take on China’s “common prosperity” drive
6 December 2021

Regulatory “cocoon” and China crackdown may hit Hong Kong’s prospects as crypto-trading hub
8 November 2021

September regulatory round-up: WM Connect and Southbound Bond Connect launched; International FIs expand in China; HK and S’pore regulators issue SPAC listing rules
8 October 2021

Movers & Shakers – August 2021
31 August 2021

China regulators strike balance between promoting inclusive growth and attracting foreign investment
20 August 2021

Hong Kong SFC fines UBS HK$11.55 million over regulatory breaches
4 August 2021