Trond Vagen

North Asia editor for Thomson Reuters Regulatory Intelligence. He is based in Hong Kong.

Hong Kong's Securities and Futures Commission ("SFC") has warned introducing and execution brokers to stay on top of their licensing, conduct and anti-money laundering ("AML") requirements, after...
2016年10月6日
With most major markets in Asia-Pacific set to introduce the International Financial Reporting Standard ("IFRS") 9 by 2018, regional banks' earnings and regulatory capital ratios could face increased...
2016年10月5日
The Hong Kong Monetary Authority ("HKMA") has issued a new guideline on its approach to taking disciplinary action against breaches of the territory's over-the-counter ("OTC...
2016年10月4日
With less than half a year to go until HongKong introduces short position reporting requirements for all listed securities, the territory's securities regulator has urged firms to ensure...
2016年10月4日
Regulators are limited in how far they can accommodate FinTech innovations by the legislation they operate under, said Philippa Allen, chief executive of consultancy ComplianceAsia. FinTech...
2016年9月30日
Following the Hong Kong banking regulator's message to the industry earlier this month to take a step back from over-zealous de-risking activities, banks must adopt a nuanced approach that...
2016年9月27日
Hong Kong's securities regulator has banned two former HSBC employees for life, after they were handed down criminal fraud convictions in the District Court in February this year. The Securities and...
2016年9月8日
Hong Kong's banking regulator will establish a "supervisory sandbox" for financial technology, following similar moves by other Asian financial centres, said Norman Chan, chief executive of the Hong...
2016年9月7日
Small- and medium-sized enterprises ("SMEs") in Hong Kong may find it easier to open new bank accounts going forward, with the Hong Kong Monetary Authority ("HKMA") set to release a...
2016年9月7日
Hong Kong's Securities and Futures Commission ("SFC") on Wednesday, 31 August designated three foreign and one local body to act as central counterparties ("CCPs") for the clearing of over-the-...
2016年9月2日
Breaches of the code of conduct and internal control deficiencies stood out as the most common breaches noted during inspections of firms licensed by the Securities and Futures Commission ("SFC")...
2016年9月2日
Hong Kong Exchanges and Clearing ("HKEx") has launched a circuit breaker for the Stock Exchange of Hong Kong, in a bid to prevent market disruption caused by extreme share price swings due to...
2016年8月22日
A decision by Hong Kong's Market Misconduct Tribunal ("MMT") has highlighted the important role that can be played by expert witnesses, and the apparent risks of relying on them to get...
2016年8月15日
Compliance hiring activity is on the slide from earlier peaks in Hong Kong, as the uncertain economic climate and pressure on hiring budgets limit candidates' opportunities to move, recruiters said....
2016年8月9日
Almost four years after a statutory regime for pensions intermediaries came into effect, Hong Kong's regulator is struggling with long internal case-handling times and sub-standard conduct at the...
2016年8月4日
Hong Kong regulators are likely to amend their anti-money laundering ("AML") regimes following new developments from the global AML standard-setter the Financial Action Task Force ("FATF"), a law...
2016年8月3日
The Hong Kong Monetary Authority ("HKMA") has issued a new Supervisory Policy Manual on the regulation of liquidity risk for Hong Kong banks, following a consultation with industry associations. The...
2016年8月3日
Hong Kong's Securities and Futures Commission ("SFC") on Friday, 29 July, said Christina Choi, the current senior director of investment products, had been appointed by the Financial Secretary...
2016年8月3日
Hong Kong will soon transfer responsibility for supervision of insurance to a new, strengthened independent regulator with recruitment for staff and the search for office premises already underway,...
2016年7月28日
Hong Kong is ready to implement a resolution regime that allows for the orderly winding down of systemically important financial institutions ("SIFIs") in the territory, the government said...
2016年7月14日
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