Category Archives: Regulatory Updates

Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities – Anti-Money Laundering / Counter-Financing of Terrorism Early Alert on United Nations Sanctions

On July 21, 2023, the United Nations Security Council’s sanctions committee responsible for administering sanctions [...]

Regulators conclude consultation on revising OTC derivative Clearing Rules

The Hong Kong Monetary Authority (HKMA) and Securities and Futures Commission (SFC) have jointly issued [...]

Exchange Publishes Conclusions on Rule Amendments Following Mainland China Regulation Updates and Other Proposed Rule Amendments Relating to PRC Issuers

The Exchange will introduce rule amendments on August 1, 2023, to align the requirements for [...]

SFC publishes review of SEHK’s performance in regulating listing matters

The Securities and Futures Commission (SFC) conducted a review of The Stock Exchange of Hong [...]

Risk Management Arrangements in respect of Individual Client Accounts

The circular refers to HKCC Rule 510(f), which allows HKCC to transfer open contracts of [...]

Reminder on Payment Obligations of Clearing Participants

HKFE Clearing Corporation Limited (HKCC) and SEHK Options Clearing House Limited (SEOCH) has reminded Clearing [...]

Amendments to the Clearing Rules and Clearing Procedures of OTC Clearing Hong Kong Limited (“OTC Clear”)

OTC Clear is informing its members that it has received approval from the Securities and [...]

Post Release Test – The Amendment of Rules In Relation to Northbound Trading of Stock Connect by China Securities Regulatory Commission (CSRC), Shanghai Stock Exchange (SSE) and Shenzhen Stock Exchange (SZSE)

The China Connect Exchange Participants (CCEPs) and Trade-through Exchange Participants (TTEPs) have been reminded that [...]

New synopsis: Julia Leung’s keynote discussion at HKICPA’s CPA Congress

At the CPA Congress organized by the Hong Kong Institute of Certified Public Accountants, Ms [...]

Public consultation on proposed enhancements to the Deposit Protection Scheme launched

The Deposit Protection Scheme (DPS) in Hong Kong recently underwent a comprehensive review by the [...]