Latest Articles

Samuel Riding, Regulation Asia, Mar 09, 2017

July deadline looming large over financial institutions and their service providers.

Peter Guy, Regualation Asia, Jan 16, 2017

Rather than starting a third board, HKEX should explore creative ideas for private placements.

Samuel Riding, Regulation Asia, Dec 22, 2016

Enforcement the major order of the year for Hong Kong regulators.

Latest News

Editors, Regulation Asia, Mar 27, 2017

One unit advised on futures contracts for more than 10 years without the required license.

Editors, Regulation Asia, Mar 22, 2017

OTC Clear can also accept some types of non-cash collateral.

Editors, Regulation Asia, Mar 15, 2017

Zhongtai International breached AML/CTF Ordinance, Code of Conduct and SFC guidance.

Editors, Regulation Asia, Mar 07, 2017

Firm breached 3 regulations including SFC Code of Conduct.

Editors, Regulation Asia, Mar 06, 2017

All authorised funds must now disclose ongoing charges, past performance.

Editors, Regulation Asia, Mar 03, 2017

Banks should set up or expand board-level committees to tackle the issue.