Tag: Hong Kong Securities and Futures Commission (SFC)
Over-regulation results in cumbersome processes when offering advice
Mutual recognition initiative given go-ahead
SFC highlights “deficiencies” in KYC process
Japan-led consortium establishes HK wealth management unit
Outgoing SFC chief executive leaves on a high note, identifies 600 funds for cross-border scheme
SFC’s deputy chief executive steps down
Private banking clients gain access from SG CIB’s new service for OTC clearing offerings
Private clients take a wait-and-see approach on Shanghai-Hong Kong Stock Connect scheme
Cybercrime is on the rise and private banks need to keep up with the pace
Shanghai-Hong Kong link bulls breathe sigh of relief as regulators announce launch
Hong Kong private banker left in limbo as Lehman Brothers cases drag on
SFC report shows growth in Hong Kong’s private banking business
Straight Talk: Mark Steward, executive director, enforcement, Securities and Futures Commission
SFC’s expenditures surge 120% since 2007
SFC warns investors and public on risk of crowd-funding
Hong Kong-Shanghai link to provide fillip for private banks
Hong Kong watchdog waives license fee for third time to “help relieve cost pressures”
SFC re-appoints deputy chief executive
SFC bans ex-Credit Suisse private banker for life for misappropriating US$4 million
No brakes on the EAM-train
The trouble with training: What is a CPT point really worth?
SFC report applauds “too-big-to-fail” banks for improved risk governance and culture
Banking conduct to come under renewed scrutiny from the SFC
Heard on the street: Hong Kong’s yuan cap lift to create huge demand for renminbi-denominated products
SFC appoints two non-executive directors
Regulatory Corner: SFC rethinks professional investor classification
SFC bans former Falcon private banker for life
Hong Kong launches association for private banking industry
Hong Kong-based AUM surge 39.3%
RBS agrees to buy back minibond investments
PB head fears client exodus if professional investor proposals adopted
Straight Talk: Mark Steward, executive director of enforcement, Securities and Futures Commission
SFC moots heightened protection for individual professional investors
London-based IAM enters Asia waters
“My role is reduced to that of a parrot!” – senior RM bemoans KYC hassle, decries minibond payouts
Expansion of RQFII scheme expected to “add oil” to HK’s embryonic RMB business
Heard on the street: “Just keep regulators off our back” says European bank to consultant
Private banks preparing bankers to face sleuthing SFC
Former Wing Hang Bank employee cops lifetime ban for forging signatures, misappropriating funds
Private bankers optimistic about proposed Mainland-Hong Kong funds platform
Heard on the street: Advantage Hong Kong? Official touts success of HKMA, SFC tour of Europe
Consumer education critical to the success of Hong Kong’s financial industry: HKMA’s Eddie Yue
Heard on the street: Do Hong Kong’s regulators sense a bubble in fixed income sales?
SFC punishes President Securities for mishandling Taiwanese clients’ accounts
SFC aims to enhance investor literacy, establishes education centre
CIC Investor Services cops SFC fine for not complying with regulatory requirements for professional investors
