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Cybersecurity in Hong Kong: SFC’s review of brokers’ internet and mobile trading systems
  • Herbert Smith Freehills LLP
  • Hong Kong
  • October 20 2016

On 13 October 2016, the Securities and Futures Commission (SFC) announced it had issued a circular launching a cybersecurity review with a focus on

International Regulatory Update 10 - 14 October 2016
  • Clifford Chance LLP
  • Hong Kong, USA
  • October 18 2016

The European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) have both published their work programmes for 2017

Governance & Securities Law Focus: Europe Edition, October 2016
  • Shearman & Sterling LLP
  • Germany, Hong Kong, Italy, United Kingdom, USA
  • October 17 2016

On 15 September 2016, the European Parliament resolved to adopt amendments to the European Commission's proposal for a new Prospectus Regulation to

The Financial Report, 13 October 2016, News from Asia and the Pacific
  • DLA Piper LLP
  • Australia, Hong Kong, Singapore
  • October 13 2016

The SFC reminded all relevant market participants that effective March 14, 2017, reporting will be required for reportable short positions in all

HK Derivatives Regulator Proposes to Amend Position Limits Regime to Authorize Higher Excess Levels
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • September 25 2016

The Hong Kong Securities and Futures Commission issued a consultation on its proposal to increase the cap on excess position limits that may be

The Delta Report: Derivatives Newsletter, September 2016
  • White & Case LLP
  • European Union, Global, Hong Kong, United Kingdom, USA
  • September 23 2016

On March 16, 2016, the Commodity Futures Trading Commission (“CFTC”) approved a final rule (“TO Final Rule”) that amends its trade option exemption

SFC compliance and licensing hints
  • Deacons
  • Hong Kong
  • September 20 2016

On 24 August 2016, the SFC reprimanded and fined a company HK$18.5 million for various internal control failures (SFC’s news release available here

SFC designates central counterparties for Hong Kong OTC derivative mandatory clearing requirements
  • Deacons
  • Hong Kong
  • September 20 2016

The Securities and Futures (OTC Derivative Transactions - Clearing and Record Keeping Obligations and Designation of Central Counterparties) Rules

International Bank Fined by HK Regulator for Position Limit Breaches in Futures and Options
  • Katten Muchin Rosenman LLP
  • Hong Kong, USA
  • September 18 2016

The Hong Kong Securities and Futures Commission fined The Hong Kong and Shanghai Banking Corporation Limited the equivalent of approximately US $325

HK SFC Designates Four CCPs for OTC Clearing
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • September 11 2016

The Hong Kong Securities and Futures Commission designated four clearinghouses as authorized for market participants to fulfill their mandatory