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SFC tightens grip on broker account opening failures
Hong Kong's Securities and Futures Commission (SFC), the city's primary markets regulator, has issued a stark warning to licensed securities brokers after a review...
Global regulatory updates: AIFMD II, UCITS changes
The European fund management landscape shifted materially on 16 April 2026, when the transposition deadline for AIFMD II expired.
According to Zeidler Group in its monthly update,...
MCO explores trading oversight gaps after SFC enforcement action
Hong Kong's Securities and Futures Commission (SFC) has fined a responsible officer at a licensed securities firm HK$1m and handed down a four-and-a-half-year industry...
HSBC penalised HK$4.2m for research report breaches
The Securities and Futures Commission (SFC) has reprimanded and fined The Hongkong and Shanghai Banking Corporation Limited (HSBC) HK$4.2m after uncovering disclosure failures in...
Finfluencers face global action over illegal promotions
A global coalition of financial regulators, led by the UK's FCA, has taken coordinated action to clamp down on so-called “finfluencers” promoting unauthorised financial...
Cross-border fund distribution: Key regulatory updates for fund managers in May...
Navigating cross-border fund distribution requires constant vigilance, especially as regulatory landscapes continue to shift. In May 2025, a series of significant updates have been introduced to help fund managers, compliance officers and legal professionals stay compliant across key jurisdictions.
Hong Kong investment firm selects MCO for enhanced compliance management
A Hong Kong-based investment management firm has partnered with MyComplianceOffice (MCO) to streamline, centralise and improve compliance within its operations.
SFC and ICMA collaboration paves the way for global ESG ratings...
The HK SFC is sponsoring the International Capital Market Association (ICMA) to form a dedicated working group on ESG.
SFC unveils consultation on visual asset trading platform regulation
The Securities and Futures Commission (SFC) of Hong Kong has launched a consultation on the proposed requirements for operators of virtual asset trading platforms.
UBS fined $51m by Hong Kong regulator for overcharging
Swiss multinational investment bank UBS has reportedly been fined HKD $400M ($51m) by Hong Kong’s securities regulator for overcharging around 5,000 clients.
