Tag: Hong Kong Securities and Futures Commission (SFC)
SFC bans former Dah Sing Bank employee for forging signatures
SFC appoints chairman and non-executive director, incumbent chairman Fong’s term ends
New SFC rule turns private bankers into whistleblowers
SFC sets tighter guidelines than Europe and the US on short positions
SFC commences criminal proceeding against an independent advisory firm for promoting an equity fund without authorisation
SFC re-appoints top watchdogs to three-year term
Merrill Lynch hit with yet another SFC fine
Thai private banking client fined US$2.6 million for share manipulation resulting in four-fold price increase
SFC fines RBC Investment Management Asia on failure to ensure thorough analysis and due diligence in its investment recommendations to its customers
UK-based wealth manager makes plans to target Hong Kong tycoons
SFC bans another Sun Hung Kai Financial Services representative
SFC bans Sun Hung Kai Investment Services representative for three years
SFC to enhance internet trading regulations to keep abreast with latest technology
SFC orders Societe Generale Private Bank to repay clients US$11 million
SFC’s clear call – to strengthen and protect the integrity Hong Kong’s securities and futures markets for the benefit of investors and industry
First time ever SFC successfully demands buyback of shares
HKMA chief executive outlines “regulator’s vision” of Hong Kong as a private banking hub
SFC announces the commencement of short position reporting
Veco Group opens its first Asian office in Hong Kong
SFC takes further steps to enhance investor protection
SFC takes steps to develop Hong Kong as an asset management centre
HK$3 billion minimum eligibility criteria for short selling of securities on Hong Kong exchange
Broker banned for life for misappropriation of client assets
Becoming a Leading Private Banking Jurisdiction: Hong Kong’s Trials and Tribulations
STRAIGHT TALK: Mark Steward, executive director, enforcement division, Securities and Futures Commission
Experts warn FSA fine for Coutts could be sign of things to come
Regulator relief provided with 2-year fee waiver
Hong Kong courts 250 senior financiers in New York
Doors open at BSI’s Hong Kong branch
SFC to implement new guidelines on anti-money laundering and counter-terrorist financing
SFC urges investors to understand how credit rating downgrades may affect their investments
SFC urges investors to better understand RQFII Funds
HFT to launch its first RMB mutual fund
HFT gets RQFII license, waiting for SFC approval to launch RMB mutual fund in Hong Kong
SFC welcomes RQFII pilot scheme
ETFs: Winds of change?
SFC reminds licensed corporations about risks from overseas counterparties
SFC reminds investors to stay on top of their margin requirements
SFC chooses new means of tracing individuals escaping enforcement enquiries
Communication and co-operation is key to financial reforms: SFC
External Asset Managers – How private banks in Asia could control costs and increase revenues
SFC to revise rules requiring reporting of net short positions
HKMA and SFC propose regulatory regime for OTC derivatives market
SFC reprimands and fines Solomon Independent Financial Advisors Limited $1.5 million and suspends its responsible officer
Credit Suisse appoints Wong as market area head for Greater China private banking
Hong Kong has a robust short selling regulatory regime: SFC
