SFC bans jailed adviser for life
A jailed Hong Kong IFA has been banned from giving investment advice for life.
SFC
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China paves way for foreign investors
China is finally paving the way for foreign investors to make direct investments in its stock market
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SFC applauds industry’s take-up of investor protection measures
The SFC said measures to strengthen the sale of investment products have been well-received.
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Hong Kong regulator helps advisers with new code of conduct
Hong Kongs investment regulator has published a Q&A for advisers on its new product code of conduct
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Hong Kong regulator investigates non-exchange traded product sales
Hong Kongs investment regulator is continuing to investigate the product sales of licensed firms
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Intermediary numbers in Hong Kong reach record high
The number of licensed intermediaries in Hong Kong has reached a recotf high
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SFC creates new investment committee
Hong Kongs SFC has established a Products Advisory Committee.
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SFC approves first RMB-denominated fund for sale
The SFC has approved the first RMB-denominated fund for sale to retail investors in Hong Kong.
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Hong Kong firms’ AUM nearly doubles in 2009
The asset management business in Hong Kong nearly doubled over the course of 2009.
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‘Gestapo-like’ mystery shopping is step too far
The chairman of Hong Kong’s IFA Association says regulators’ mystery shopping is a step too far
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HK IFAs to get ‘mystery’ visit from regulator
IFAs in Hong Kong are to be investigated by undercover mystery shoppers.
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Julius Baer in Hong Kong fined $3m
Julius Baer in Hong Kong has been fined HK$3m for compliance failings