Tag: Hong Kong Securities and Futures Commission (SFC)
SFC “fully implements” MIC framework
With multiple regulators, Hong Kong faces challenges in developing shared KYC utility
SFC aims to encourage “early cooperation” with enforcement actions through new guidelines
Hong Kong regulators scrap address verification requirements in AML guidelines
SFC bans former CICC investment consultant
Chinese wealth managers in HK will play by the same rules, says SFC’s Alder
September Regulatory Round-up: China’s ICO ban may benefit HK and SG; SFC “shifts focus” to corporate governance
SFC launches regulatory sandbox to promote fintech development
HKSI launches e-learning platform for financial industry practitioners
Top Eight for Week 15 – 22 September 2017
Number of SFC investigations declines as regulator “shifts focus” to corporate governance
SFC “may take enforcement action” against errant licensed asset managers
Hong Kong and Singapore to benefit from China’s tough stance on cryptocurrencies?
Hong Kong signs fintech agreement with Malaysia
Mis-selling precedent will have “limited” long-term implications
Wealthy investors “enthusiastic” about digital currencies, as SFC ups scrutiny of ICOs
Hong Kong’s SFC signs fintech agreement with Dubai
SFC signs MoU with Hong Kong police to tackle financial crime
July Regulatory Round-up: SFC’s MIC inspections loom; HK to abandon bilateral AEOI approach?
SFC circular on misuse of private and discretionary funds in line with transparency drive, lawyers say
HKMA to align its rules with SFC’s manager-in-charge programme, lawyers say
Changes to financial resources rules will bring HK “in line” with international standards, says SFC
Hong Kong signs agreement with UK on regulation of cross-border financial activities
HK’s private wealth management sector grew by 9% last year, says SFC
Rivalry between SG and HK breeds uncertainty for PB-focused fintechs
Hong Kong signs agreement with France for mutual recognition of funds
Hong Kong’s revised bank resolution framework is credit negative, says ratings agency
June Regulatory Round-up: New suitability requirements in HK; AEOI networks expanded; spotlight on fintech
No local bank wants to be the first “to publicly tackle culture issues”, says HK-based lawyer
Hong Kong’s IAMs and family offices want clearer guidance on KYC requirements
Hong Kong’s SFC clarifies exemptions policy for Type 9 licences
HKMA’s Norman Chan on fintech: “Balance between convenience and investor protection” needed
AML officers in Hong Kong say they are “highly stressed” amid regulatory clampdown
Hong Kong signs fintech agreement with Australia
New suitability requirements enforced with questions unanswered, say lawyers
MAS seeks industry’s input on robo advisory regulations
HK fintech agency plans to extend cyber security platform to insurance, securities firms
New robo advisory guidelines will result in “greater choice” for investors, says SFC
SFC wants to see more regtech solutions in Hong Kong
Private banks require “a lot of guidance” amid multitude of regulatory consultations
SFC’s proposed suitability requirements for online platforms will be “difficult” to meet, says law firm
SFC signs first fintech co-operation agreement with UK
SFC aims to “nip bad behaviour in the bud” with supervision and “front-loaded” regulation
Consultations on the suitability obligations of online platforms coming soon, says SFC’s Alder
SFC’s Alders gets another three-year term
HK regulators aim to raise cyber security standards through consultations
