14 January 2021 |
PBs should prepare for stronger regulatory emphasis on compliance in 2021
Tag Archives: Karen Man
11 June 2020 |
Upcoming thematic review in Hong Kong spurs overhaul of PB recording for bespoke deals
24 January 2019 |
Revised UT Code unifies disclosure standards of SFC-authorised products
5 November 2018 |
New offline suitability rules in Hong Kong may limit investor choice
12 April 2018 |
SFC suitability checks for complex products "a tricky area"
9 June 2017 |
New suitability requirements enforced with questions unanswered, say lawyers
1 March 2017 |
SFC’s incoming client suitability clause: the impact on mis-selling claims and on RM selling processes
1 June 2016 |
Banks, regulators increasingly turning to regtech, says law firm
