Category Archives: Regulatory Updates

EXCHANGE PUBLISHES LISTING COMMITTEE REPORT 2022

The Exchange has released its Listing Committee Report for 2022, detailing its activities and policy [...]

Practice Session for Northbound Trading Under Stock Connect to Support the Listing Regime Update of Shanghai Stock Exchange and Shenzhen Stock Exchange

Regarding updating the listing regulations of the Shanghai Stock Exchange (SSE) and Shenzhen Stock Exchange [...]

COMMENCEMENT OF END-TO-END (E2E) TEST FOR MIGRATION OF NORTHBOUND (NB) BROKER-TO-CLIENT ASSIGNED NUMBER (BCAN) FILE SUBMISSION AND DOWNLOAD FUNCTIONS TO ELECTRONIC COMMUNICATION PLATFORM (ECP)

The Exchange is arranging an End-to-End (E2E) test for the migration of Northbound Broker-to-Client Assigned [...]

Circular to Licensed Corporations 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, 22-24 February 2023

FATF Statement on High-Risk Jurisdictions subject to a Call for Action The Financial Action Task [...]

Joint consultation on changes to the OTC derivative Clearing Rules

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

United Nations Sanctions (Somalia) Regulation 2019 (Amendment) Regulation 2023

This regulation amends the United Nations Sanctions (Somalia) Regulation 2019 (Chapter 537, subsidiary legislation CG) [...]

SFC issues quarterly report

The latest Quarterly Report published by the Securities and Futures Commission (SFC) provides an overview [...]

Revision of Liquidity Risk Multiplier in Initial Margin calculation

OTC Clear has recently drawn up its updated Liquidity Risk Multiplier following an intensive review [...]

Balanced and effective AML/CFT measures in private banking

The Hong Kong Monetary Authority (HKMA) has been working alongside the banking sector to adopt [...]

Circular to Licensed Corporations Updated Frequently Asked Questions (FAQs) on OTC Derivatives Clearing Requirement

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