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Comment and Analysis

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Regulation of Products

New virtual asset rules come to Hong Kong

Hong Kong firms that manage virtual asset funds on behalf of HNW customers are now subject to a new set of rules, issued by the Securities and Futures Commission. ...

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Fines and Punishment

SEC punishes 17 advisory firms for bad disclosure

The US Securities and Exchange Commission has ordered many firms to pay penalties for not giving investors the right information when helping them select mutual fund share classes. This is part of a successful l...

Latest News

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Fines and Punishment

US brokers to pay for helping Ukrainian market manipulation

A federal court judge in the US has passed final judgment against Lek Securities, a New York brokerage, and its CEO Sam Lek. The Securities and Exchange Commission had charged both parties with facilitating mani...

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Anti-Money Laundering

AML reform on the stocks in Thailand

Thailand's council of ministers has approved a draft regulation to change the country's anti-money-laundering law in the wake of the Asia Pacific Group's mutual evaluation report of 2017. ...

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Best Practice

HKMA prescribes the right premises for AIs

The Hong Kong Monetary Authority has issued an edict in accordance with rule 37(3) of the Banking (Exposure Limits) Rules, which deals with 'premises in whole treated as being used for conducting banking busine...