HK watchdog calls for more accountability in investment industry
Fund firms, broker-dealers and investment advisers can help plug gaps in Hong Kong’s responsible officer regime, says Julia Leung of the Securities and Futures Commission.
More clarity is needed in Hong Kong’s investment industry about management accountability at licensed firms, said one of the city’s most senior market regulators yesterday.
Julia Leung, head of intermediaries at the Securities and Futures Commission (SFC), pointed to “gaps” in the watchdog's responsible officer (RO) regime and described how it aimed to plug them.
She was speaking in Hong Kong at the Asia-Pacific annual forum of the Alternative Investment Managers Association, pa…
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