News, Comment & Analysis results for Securities and Futures Commission

Compliance
29 August 2017

Hong Kong's SFC, Dubai Authority Sign Fintech Agreement As Cross-Border Pacts Mount Up

The trend of financial jurisdictions joining hands to foster cross-border fintech innovation...

Legal
19 January 2017

Hong Kong Regulator Files Lawsuit Against UBS, Standard Chartered Over 2009 IPO

The parties have 14 days to respond to the regulator's allegations. ...

Legal
9 May 2014

Hong Kong Regulator Bans Former RBS, StanChart Bankers From Industry For Life

The Hong Kong Securities and Futures Commission has banned two former bankers at major institutions...

Legal
19 December 2013

Hong Kong Regulator Issues Life Ban On Former DBS Relationship Manager

The Securities and Futures Commission has banned a relationship manager from DBS Bank from...

Compliance
31 July 2013

SFC Fines Hong Kong Investment Firm For Lack Of Internal Controls

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Fund Management
29 July 2013

Hong Kong Fund Management Business Sees Record High In 2012

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Legal
5 February 2013

Hong Kong Regulator Bans Man For Life From Industry After Client Account Thefts

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Compliance
25 January 2013

Hong Kong Gets Closer To Winning Leading Offshore RMB Status

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Structured Products
16 July 2012

SFC Set To Approve Three More Yuan ETFs

Hong Kong's Securities and Futures Commission is studying applications for three more...

New Products
22 November 2007

Hong Kong Regulator Authorises First Islamic Fund

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Comment & Analysis results for Securities and Futures Commission

Uncategorised
9 September 2013

SUITABILITY FOR PRIVATE CLIENTS: A REFRESHER

Every firm must take reasonable steps to ensure that a personal recommendation, or a decision to...