Tag: Hong Kong Securities and Futures Commission (SFC)
Investment fund promoter raises funds from 120 investors without SFC authorization
SFC seeks court orders to redress consequences of alleged insider dealing
SFC appoints non executive directors
China’s banking regulator declares 28 November as “Public Education Day”
Wheatley to leave SFC next summer
SFC and SEHK launch joint consultation to enhance requirements for property valuation disclosure
Court of Appeal says criminal procedures not applicable to SFC
HFT Investment opens subsidiary in Hong Kong
SFC disqualifies director
The SFC and HKEx announce measures to distinguish between physical and synthetic ETFs
Citigroup First Investment Management launches SFC authorized China Select Equity Fund.
SFC bans asset manager for life
SFC imposes five-year ban on warrants trader
BlackRock addresses counterparty exposure on benchmark A50 ETF
Multiple moving parts
An insurance products primer
SFC re-embraces principles-based regulation with PI consultation
HSBC embarks on stage two of fund buyback
Manulife launches QFII-enabled China funds
SFC reviews professional investor designation
JP Morgan banker banned in Hong Kong
Spin cycle
SFC reprimands investment adviser
SFC announces a 25% reduction in levy on trading in securities and futures and options contracts
SFC bans Merrill trader for life
STRAIGHT TALK: Stephen Richards Evans, regional head, north east Asia, Standard Chartered Private Bank
Retail structured product issuers ready for HK re-entry
SFC forms Products Advisory Committee
SFC authorises first renminbi-denominated fund
BSI confirms Esther Heer appointment
BlackRock fights back on Next Magazine article
Hong Kong private banking rising rapidly, says SFC
The SFC and structured products – legislate today, regulate tomorrow
CCB banker banned five years for forgery
PRC fund manager launches Hong Kong ETF
SFC, HKMA and DBS Bank (Hong Kong) reach agreement on Lehman Brothers notes
STRAIGHT TALK: Mark Steward, executive director, enforcement division, SFC
The SFC’s slippery classification of professional investors
Baker & McKenzie outlines SFC’s evolving view of professional investors
SFC’s Julius Baer investigation ends with a whimper
SFC introduces Handbook on unit trusts and mutual funds
SFC approves eight Pictet funds
June 18 funds wrap
SFC fines Christfund for control deficiencies in mainland accounts
Former Sun Hung Kai account executive given community services order
SFC hones in on synthetic ETFs
