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Tag: sfc

Markets
SFC appeals after fund manager acquitted of false trading
The commission has launched an appeal against a not guilty verdict for Liang Jiang on 13 market manipulation charges during a six-month period in the 2008 global financial crisis.
By Leigh Powell | 10 January 2012
Markets
Issue of RQFII guidelines expected by year end
Fund houses and banks are readying products for China's renminbi qualified foreign institutional investor programme, due for launch this month.
By Leanne Wang | 15 December 2011
Conference Highlights
The key questions occupying regulators’ minds
Hong Kong SFC chief Ashley Alder offers a fresh perspective on the fundamental debates taking place among peers as a result of the 2008 global financial crisis.
By Leigh Powell | 2 November 2011
Distribution
HK SFC fines IFA, suspends responsible officer
Hong Kong’s securities regulator continues to follow a tough line with rule-breakers by penalising Solomon Independent Financial Advisors.
By Joe Marsh | 14 October 2011
Alternatives
Expectations run high for new SFC chief
What do asset managers want to see from Ashley Alder, the newly unveiled CEO of Hong Kong's Securities and Futures Commission?
By Joe Marsh | 3 October 2011
Distribution
Hong Kong fund assets pass 2007 peak
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.
By Joe Marsh | 21 July 2011
Alternatives
Tiger Asia allowed to continue trading in Hong Kong
The territory's Securities and Futures Commission will appeal last week's decision not to freeze the assets of the US hedge fund.
By Joe Marsh | 18 July 2011
Markets
HSBC Broking Asia chief on new SFC advisory role
Anna Wong recently joined the advisory committee of Hong Kong's Securities & Futures Commission. She wants to balance protection for the securities industry with economic growth.
By Leigh Powell | 15 July 2011
Distribution
Citibank to buy back Lehman notes, but denies liability
The bank agrees to repurchase market-linked and equity-linked notes issued between March 2007 and June 2008 for 80% of total value, estimated at $136 million overall.
By Leigh Powell | 11 July 2011
Distribution
SFC fines Merrill over sale of index-linked notes in 2007
The regulator says Merrill failed to assess the objectives of investors. It also fines Core Pacific-Yamaichi International (HK) over the sale of Lehman-related structured products.
By Leigh Powell | 13 May 2011
Markets
Wheatley welcomes trading competition, fears fragmentation
The Hong Kong SFC's chief executive acknowledges the benefits of additional trading venues, but raises concern over whether diverse platforms can be accessible in a non-discrimi...
By Leigh Powell | 23 March 2011
Alternatives
HK hedge-fund assets hit $63.2 billion as larger firms take root
Big-ticket funds are on the rise in the territory as the number of smaller firms shrinks, according to the Securities and Futures Commission.
By Yvonne Chan | 14 March 2011
Markets
Hong Kong to refine process for assessing professional investors
Financial firms will have more flexibility to assess professional investors under the amended Professional Investor Rules introduced by Hong Kong's Securities and Futures ...
By Leanne Wang | 25 February 2011
Markets
Brokers welcome HKEx move to tag dark-pool trades
Brokers have been asked to identify transactions that have been crossed from alternative trading systems onto Hong Kong's exchange, with a view to improving data transparency.
By Joe Marsh | 18 February 2011
Markets
SFC's Wheatley praised after saying he'll step down in 2011
Martin Wheatley is set to return to the UK next June after six years at the Securities and Futures Commission in Hong Kong. The industry offers universal acclaim of his two ...
By Leigh Powell | 9 December 2010
Alternatives
Regulatin' is like a wild west movie, says sheriff Martin Wheatley
Martin Wheatley, chief executive of Hong Kong’s Securities and Futures Commission, evaluates the architecture of regulation.
By Simon Osborne | 27 October 2010
Markets
Hong Kong SFC reports record number of licensees
The number of firms or individuals holding a licence from the Securities and Futures Commission has exceeded the previous record set in November 2008.
By Joe Marsh | 17 August 2010
Markets
Heavy hitters join Hong Kong regulator's products committee
The Securities and Futures Commission’s new 35-strong committee reads like a who’s who of the territory’s investment industry.
By Joe Marsh | 11 August 2010
Business Moves
Haitong launches Hong Kong's first retail RMB fund
The Chinese asset manager launches a fixed-income renminbi fund that is set to be the first of many such vehicles.
By Joe Marsh | 10 August 2010
Markets
Hong Kong SFC fines Hantec HK$4 million
The regulator has resolved compliance breaches with the leveraged FX trading firm, following complaints dating back to 2000.
By Joe Marsh | 3 August 2010
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alexa lam ashley alder asset management fmas fund funds hedge hedge funds hk hkma hong hong kong ia information insider insider trading kong martin wheatley merrill lynch milton cheng minibondssun hung kai morgan stanley newalliance outlines pac panel payouts pboc pictet practices priorities probe product rules products short professional investor rules qpl real estate regulations regulations investment reit reits renminbi reports retail retail distribution rmb securities and futures commission selling tiger tiger asia
MOST READ
Polls
What will be your favoured currency in Year of the Dragon?
   |   View results
US dollar
  28%
 
Japanese yen
  3%
 
Aussie dollar
  11%
 
Singapore dollar
  18%
 
Chinese renminbi
  25%
 
None of the above; gold
  15%
TOTAL VOTES: 207

 
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February, 2012