Changes may be coming with regard to how the territory's regulators treat commission disclosure and investment-linked assurance schemes.
Hong Kong’s securities regulator continues to follow a tough line with rule-breakers by penalising Solomon Independent Financial Advisors.
The SFC's new chief, Ashley Alder, moves to calm short-selling fears, but issues a reminder that it will shortly be introducing a short-position reporting regime to enhance ...
What do asset managers want to see from Ashley Alder, the newly unveiled CEO of Hong Kong's Securities and Futures Commission?
Assets under management in Hong Kong's private-banking non-funds business and retail products saw particularly strong growth in 2010, according to the annual SFC survey.
The territory's Securities and Futures Commission will appeal last week's decision not to freeze the assets of the US hedge fund.
Big-ticket funds are on the rise in the territory as the number of smaller firms shrinks, according to the Securities and Futures Commission.
The number of firms or individuals holding a licence from the Securities and Futures Commission has exceeded the previous record set in November 2008.
The Securities and Futures Commission’s new 35-strong committee reads like a who’s who of the territory’s investment industry.
The regulator has resolved compliance breaches with the leveraged FX trading firm, following complaints dating back to 2000.
But despite climbing to HK$8.5 trillion ($1.1 trillion), the figure is still short of its 2007 peak, according to Hong Kong's Securities & Futures Commission.
The new code for unit trusts wins broad support, but question marks remain over fund statements and the use of VaR for valuing derivatives.
An investigation in Hong Kong fines two executive directors over 'wash' trades stemming from a client's decision to lighten a margin call.
Hong Kong's regulator, in its first ever such move, is looking to prohibit the US asset manager from dealing in all listed securities and derivatives following further ...
A new rule announced by Hong Kong's regulators could be the first in a process of alignment with other jurisdictions.
Real estate investment trusts are to be governed by the same rules on mergers, securities and futures as listed companies, under a new proposal from Hong Kong's Securities and ...
A strong regulatory response is required post-crisis – but not too strong, says Martin Wheatley, Hong Kong's top securities supervisor.
Hong Kong’s SFC has done its homework and gives shorts a thumbs-up.
SFC executive director Alexa Lam says it is not enough for Hong Kong to be a beneficiary of fund outflows from China; it should welcome Mainland managers and provide support ...
The SFC vows to work closely with the industry and other regulators.