It failed to monitor record keeping and trading activities in discretionary accounts.
Category: Markets
Impax’s David Li passes on
David Li died suddenly in his home city of Sydney.
India offers investors upside surprise but it does come at a premium
India offers investors upside surprise but it does come at a premium.
Hong Kong to authorise virtual asset ETFs
The Hong Kong government issued a policy statement on the development of virtual assets today.
Singapore regulator aims to protect investors from cryptocurrencies
As HNWs in APAC region admit they are keen on investing in digital assets.
European firms eye deal for Thai asset manager
Binding offers are reportedly expected in the next few weeks.
Fidelity launches Bitcoin ETP for Hong Kong investors
The UK investor has been adding to its suite of digital asset products lately.
UBS records drop in Asia wealth management profitability
HSBC and Standard Chartered also record third-quarter results.
Morningstar bets on Chinese gaming stocks
The easing of government regulations will benefit the sector for the remainder of the year, Morningstar argues.
Hong Kong vows to support family offices
Chief executive John Lee proposed incentives to attract family offices to set up in Hong Kong.