Regulations
Latest News - Page 10
Upcoming thematic review in Hong Kong spurs overhaul of PB recording for bespoke deals
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”
HKMA affirms “phased approach” by banks adopting remote onboarding
CSRC warns CICC subsidiary about violation of principal investment guarantee rules
Completely remote onboarding still elusive for Hong Kong PBs
HKMA to take closer look at front office incentives following banking culture review
Hong Kong regulators to review intermediaries’ spread charge policies in 2H20
SFC “delighted” that its CEO will stay for another three years
Tech of limited help in improving client onboarding experience: IAMs
HKMA seeks PWMA feedback on mandatory reference checking scheme
SFC and HKMA join hands to establish green finance steering group
April Regulatory Round-up: PBs in spotlight as clients face losses; MAS aligns with Hong Kong on suitability; China loosens overseas JV ownership rules
Huishang Bank opens doors to WM subsidiary
Industry trade group calls for banks to collaborate on KYC framework
Credit Suisse’s China strategy gets boost as CSRC okays securities JV majority ownership
MAS shows signs of moving towards Hong Kong standard of suitability: Synpulse
LCs must promptly report major operational changes caused by COVID-19: SFC
PB paper trails under scrutiny as clients confront losses
Extending timelines and deferring policies, MAS wants FIs to focus on COVID-19
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
Watchdog, regulator pledge support for FIs, highlight risks linked to pandemic
SFC urges skillful management of fund liquidity in view of market volatility
Force majeure clause may affect PB trading contracts
SFC bans BOCI Securities RM for overcharging clients
PBs should revisit algo-trading compliance as the HKMA steps up stringency
Upcoming thematic review in Hong Kong spurs overhaul of PB recording for bespoke deals
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”
HKMA affirms “phased approach” by banks adopting remote onboarding
CSRC warns CICC subsidiary about violation of principal investment guarantee rules
Completely remote onboarding still elusive for Hong Kong PBs
HKMA to take closer look at front office incentives following banking culture review
Hong Kong regulators to review intermediaries’ spread charge policies in 2H20
SFC “delighted” that its CEO will stay for another three years
Tech of limited help in improving client onboarding experience: IAMs
HKMA seeks PWMA feedback on mandatory reference checking scheme
SFC and HKMA join hands to establish green finance steering group
April Regulatory Round-up: PBs in spotlight as clients face losses; MAS aligns with Hong Kong on suitability; China loosens overseas JV ownership rules
Huishang Bank opens doors to WM subsidiary
Industry trade group calls for banks to collaborate on KYC framework
Credit Suisse’s China strategy gets boost as CSRC okays securities JV majority ownership
MAS shows signs of moving towards Hong Kong standard of suitability: Synpulse
LCs must promptly report major operational changes caused by COVID-19: SFC
PB paper trails under scrutiny as clients confront losses
Extending timelines and deferring policies, MAS wants FIs to focus on COVID-19
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
Watchdog, regulator pledge support for FIs, highlight risks linked to pandemic
SFC urges skillful management of fund liquidity in view of market volatility
Force majeure clause may affect PB trading contracts
SFC bans BOCI Securities RM for overcharging clients
