Tag: Hong Kong Securities and Futures Commission (SFC)
Investors reminded to pay attention to credit risks associated with structured product issuers
SFC urges investors to be cautious in times of high volatility
SFC refines evidential requirements for proving PI status
Hong Kong’s regulatory platform ready to support new RMB initiatives
Billion Global Asset Management guilty of carrying on business without a license : SFC
London & Capital opens office in Hong Kong
SFC increases synthetic ETF collateralization requirements; industry unperturbed
SFC suspends license of three brokers for unauthorized trades
SFC sums up progress made towards raising market standards
Alder to take over as CEO of SFC
Citibank Malaysia Launches Hwang DBS China Select Fund
Fund management business in Hong Kong surpasses pre-crisis levels
Citibank HK to repurchase Lehman Brother’s notes worth HK$ 1.06 billion
SFC reminds investors to use enhanced product disclosure
Lehman Brothers fallout continues
SFC appoints Lam as interim CEO
ASIC proposal for credit rating agencies' compliance reporting
Professional Investor: To be or not to be
SFC’s strategy in resolving Lehman Brothers-related matters bears fruit
SFC considering short position reporting regime
SFC conducts mystery shopping on investment advisory firms and brokerages on selling practices
SFC extends deadline for investor education requirements, banks relieved
SFC fines Quam Securities HK$ 1.3 million for failing to follow KYC procedures
4th, June 2011 : Day of Reckoning?
CPYI agrees with SFC to repurchase Minibonds from clients at original value
Cross-border transactions: areas of risk and change
SFC fines Bank of America – Merrill Lynch
SFC announces implementation of legislative amendment on structured products
SFC to regulate credit rating agencies from 1 June
STRAIGHT TALK: Mark Steward, executive director of enforcement division at Securities and Futures Commission
ICAC confirms arrest of two senior bankers
SFC publishes investor education article on REIT products
Lyxor rolls out its ‘Epsilon Managed Futures Fund’ to investors in Hong Kong
Additional ex-gratia payment to Lehman Brother’s Minibond customers will increase the level of recovery to 96.5% of their initial investment
At Your Service
SFC reminds investors to get aware of trading requirements specific to renminbi securities before investing in this upcoming class of products
AUMs for Hong Kong’s hedge fund industry at US$63.2 billion: SFC
More bang for your buck? Is discretionary portfolio management the panacea for the HNWI masses?
SFC to conduct RMB readiness tests on brokerages wanting to carry out listed RMB securities business
SFC publishes consultation conclusions on refining professional investor (PI) rules
SFC reprimands and fines CES Capital
Standard Chartered agrees to make repurchase offer to customers holding outstanding Lehman Brothers equity linked notes
Hong Kong government to host investor conference in New York
SFC supports Government’s initiative to reinforce Hong Kong’s status as an international financial centre
SFC appoints Financial Secretary and others to board of directors
Hong Kong-based Asia Pacific Advisors acquired by Moelis
