Securities and Futures Commission (SFC)

Countdown to the G-20 deadline

Just 12 months to go until all standardised OTC derivatives are supposed to be cleared through CCPs – but meeting that deadline everywhere looks unlikely

HK OTC rules add to cross-border concerns

The Securities and Futures Commission and Hong Kong Monetary Authority released a joint consultation on their plans to overhaul OTC derivatives regulation in October. But how will the rules fit with the patchwork of legislation drawn up elsewhere? And…

SFC: wrestling with local versus international

The comment period for the joint Securities and Futures Commission (SFC) and Hong Kong Monetary Authority (HKMA) consultation paper on the regulatory regime for OTC derivatives closed on November 30. SFC chief executive Ashley Alder and executive…

Merrill Lynch fined by SFC for mis-selling ILNs

The Hong Kong Securities and Futures Commission has fined and censured Merrill Lynch (Asia Pacific) for mis-selling index-linked notes to investors. The US bank will pay a fine of HK$3 million and repurchase notes held by private investors to the tune of…

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