Tag: Hong Kong Securities and Futures Commission (SFC)
HK regulators extend deadline for mandatory use of Legal Entity Identifiers in OTC derivative trades
Aligning interests more important than going retrocession-free: Credit Suisse
HK PBs take stock of online trading offerings as regulatory changes loom
SFC signs fintech agreement with Abu Dhabi
More enforcements to come after SFC draws “first blood” from Chinese WM firm
DBS aims to sync data across platforms ahead of iWealth products rollout
May Regulatory Round-up: HK regulators bring clarity, competition to PB industry
PI definition likely to expand
SFC amends fee disclosure requirements for discretionary accounts
SFC excludes assets in partially owned corporations for PI qualification
10,600 senior managers registered as MICs: SFC
SFC tightens guidelines around use of instant messengers for investment orders
April Regulatory Round-up: HKMA, MAS pursue international standards
HK govt’s money laundering risk assessment report points to “higher vulnerability” of PBs
March Regulatory Round-up: SFC, MAS outline fintech requirements
SFC lists out “complex products” in suitability consultation conclusion
HK mulls mandatory use of Legal Entity Identifier in OTC derivative trades
Cryptocurrency firms unlikely to qualify for SFC licences
UBS IPO suspension “unlikely” to dent wealth management business
February Regulatory Round-up: Credit Suisse responds to SFC enforcement, HKMA steps up on smart banking, Singapore’s new reg reporting structure
SFC lists intermediary misconduct and money laundering as enforcement priorities in 2018
SFC signs fintech cooperation agreement with Switzerland
Credit Suisse responds to SFC penalty
Fee disclosure scrutiny may not suit clients
January Regulatory Round-up: limited MiFID II impact in Asia; DPM fee transparency; enforcement updates
SFC uncovers execution deficiencies in Hong Kong financial sector
SFC bans DBS ex-investment counsellor for data breach
SFC’s new asset management regulation will “significantly impact” discretionary portfolio managers, said lawyer
2018 regulatory outlook: what should Asia’s private banks watch out for?
SFC slaps EFG Bank with HK$2 million fine
BoS ruling shows courts are finally taking SFC regulations seriously: lawyer
HKMA sets disclosure standards for transaction of non-SFO regulated products
Who said what? AML in 2017
2017’s key regulatory enforcements
PBs using MiFiD II-compliant digi-tools to reduce suitability stress
MiFID II on the menu at recent EU-APAC reg forum in HK
Robos may need to report regularly to regs due to suitability requirements
November Regulatory Round-up: SFAT fines HSBC; Singapore FinTech festival; Paradise Papers leak
HKMA offers meeting sessions to tech companies and banks for fintech supervision
HSBC PB case will lead to greater emphasis on multiple complaints
HK regulators confront conflicts of interest when selling in-house products
SFAT cites “lack of contemporaneous records” in HSBC PB (Suisse) ruling
Hong Kong’s private bankers turning to AI-driven tools to deal with suitability requirements
Singapore, China regulators eye derivatives info exchange cooperation
October Regulatory Round-up: AML breaches; StanChart under microscope; KYC databases
Decision to scrap AML requirements driven by compliance burden: Accuity
