Category Archives: Regulatory Updates

Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities – Anti-Money Laundering / Counter-Financing of Terrorism  (1) FATF Statement on High-Risk Jurisdictions subject to a Call for Action  (2) FATF Statement on Jurisdictions under Increased Monitoring  (3) Outcomes from the FATF Plenary, 21-23 June 2023

The Securities and Futures Commission (SFC) has issued a circular to various entities, including Licensed [...]

Derivatives Facilitation Development Program

The Hong Kong Futures Exchange Limited has launched the Derivatives Facilitation Development Program to provide [...]

Exchange Publishes Conclusions on Proposals to Expand Paperless Listing Regime

The Hong Kong Stock Exchange has confirmed that it will implement all the proposals to [...]

Compliance Bulletin (Issue No. 8) – (1) Restricting Mainland Investors from Northbound Trading under Stock Connect, (2) Hong Kong Investor Identification Regime (“HKIDR”), (3) Stock Connect Northbound BCAN (“NB BCAN”) requirements, and (4) 2023 Self-attestation of Compliance Questionnaire

The Compliance Bulletin released by the Exchange serves as a reminder to participants of their [...]

Order Consideration Limit Setting and Apply Notional Value Checks by Exchange Participants

Exchange Participants (EPs) are advised to review and set their own Order Consideration Limit (Limit) [...]

Revised Return of International Banking Statistics

The Hong Kong Monetary Authority (HKMA) has updated the Return of International Banking Statistics (IBS [...]

Enhancements to the Block Trade Facility in the Derivatives Market

The Stock Exchange of Hong Kong Limited plans to improve its derivatives market Block Trade [...]

Anti-Scam Consumer Protection Charter

The Hong Kong Monetary Authority (HKMA) and the Hong Kong Association of Banks (HKAB) have [...]

Annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime

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

Fast Interface for New Issuance (FINI): FINI Market Rehearsals and Go-live Arrangements

Hong Kong Exchanges and Clearing Limited (HKEX) has announced the upcoming market rehearsals of FINI, [...]