監管及合規

The risk-based approach to anti-money laundering and know-your-customer compliance is not without its problems, especially in the context of client onboarding and transaction monitoring, a senior...
三月 2017
The Hong Kong Monetary Authority ("HKMA") will set up a resolution office on 1 April, as part of the regulator's plan to ensure the Hong Kong resolution regime is...
三月 2017
Hong Kong's Securities and Futures Commission ("SFC") has announced that it will implement proposed changes to the position limit regime in the territory, following a consultation on the matter...
三月 2017
Recently proposed amendments to Hong Kong's professional investor regime should benefit compliance and legal professionals since they reflect evolving market practice, industry officials...
三月 2017
The Securities and Futures Commission ("SFC") has fined BOCOM International (Asia) ("BIAL") HK$15 million for failure to discharge its duty as a sponsor in relation to the attempted listing of a...
三月 2017
「白宮」有易主之時,「青瓦台」也有,新任總統遷入,舊任總統遷出,各自走上自己的路,體現名曲My Way所寄之意。香港證券及期貨事務監察委員會也有自己上路,獨闢蹊徑做事的時候――在打擊市場失當行為一類活動方面,更是如此。 (現時來說)沒有比證監會最近根據「第213條」提起的民事法律訴訟(「213條民事訴訟」)更能說明這個情況。這次,證監會就某些事件針對中國森林控股有限公司、該公司其中兩名共同創辦人...
三月 2017
Asian banks are far from ready for implementation of the International Financial Reporting Standard 9 ("IFRS9") unless local banking regulators are able to ascertain how impairment will be treated...
三月 2017
Hong Kong’s forthcoming “manager-in-charge” regime will likely increase the risk of the Securities and Futures Commission (“SFC”) taking enforcement action against senior managers, given the personal...
二月 2017
The late disclosure of price-sensitive information to the market is not impacted by whether or not trading in the shares of a listed company is suspended, Hong Kong's Market Misconduct...
二月 2017
China's three largest bitcoin exchanges said on Thursday, 9 October, they will strengthen oversight of customers' identities and sources of funds, in the latest shift since the Chinese central bank...
二月 2017
This will be a positive year for the Asia-Pacific region as it is set to benefit from the political and regulatory uncertainty in the UK, Europe and the Americas. International firms will be...
二月 2017
The final version of the standardised measurement approach ("SMA") for calculating operational risk capital, expected to be released next month by the Basel Committee on Banking Supervision, may not...
二月 2017
The world's $544 trillion derivatives market warned on Tuesday, 7 February, of potential market disruption unless national regulators grant a six-month phase-in for a new rule requiring trades to be...
二月 2017
近年有不少香港的上市公司決定取消其在第二上市市場的上市地位,而其決定退市的原因主要是:(1)通過將股份合併來提高流動性(即是藉著擴闊股東基礎,從而使其上市公司成為更具吸引力的投資目標);(2)更有效地從地理上整合其在中國經營的業務;及(3)在合規及資源管理方面實現成本節約(即是說,它們只需遵守單一上市市場的上市規則和法規)。 自2013年至今,已有:桑德國際有限公司(Sound...
二月 2017
Chinese banks are hiring blockchain experts as the government pushes use of the technology behind bitcoin to increase transparency and combat fraud in its financial sector. Lenders have struggled...
二月 2017
Hong Kong's securities regulator said brokers in the city had suffered cyber attacks and warned of possible further incidents across the industry. Regulators in Hong Kong have...
一月 2017
Over-the-counter derivatives markets in Asia will see a number of significant rule implementations this year as the scope of mandatory clearing and reporting continues to expand. Geopolitical...
一月 2017
A recent leaked Basel Committee on Banking Supervision document on the proposed capital floor rules for calculating risk-weighted assets using internal risk-based ("IRB") models shows...
一月 2017
China Merchants Bank ("CMB") will next week sharply tighten eligibility rules for mainlanders to open accounts at its Hong Kong branches, the latest move by Chinese lenders to curb...
一月 2017
Hong Kong's securities regulator has filed a suit against Standard Chartered Plc, UBS Group AG and four other parties over the 2009 IPO of timber company China Forestry Holdings Co Ltd ,...
一月 2017