Schroder Investment Management (Singapore) has received a Renminbi Qualified Foreign Institutional Investor license from the China Securities Regulatory Commission, which will enable it to tap the investment opportunities in China’s onshore markets.
Category: Regulation
HK regulators ban trader for life
The Securities and Futures Commission has put a lifetime ban on a derivatives trader who fled Hong Kong after being caught concealing risk and losses.
Hearing date set for Moodys Red Flag report
A September court date has been set to review Hong Kong’s disciplinary decision against the ratings agency for publishing a report that warned about risks at listed Chinese companies.
JP Morgan Singapore gets RQFII license
JP Morgan Asset Management has received an Renminbi Qualified Foreign Institutional Investor licence from the China Securities Regulatory Commission (CSRC) for its Singapore business.
HK regulators in boiler room clampdown
Backed by court orders, the Securities and Futures Commission froze the online activity of three unlicensed securities trading firms alleged to be engaged in fraudulent schemes.
Hong Kong regulators halt securities firm
The Securities and Futures Commission has frozen the activities of Goodcape Securities Ltd for being insufficiently capitalised.
Hong Kong regulators suspend ICBCI broker
Hong Kong’s Securities and Futures Commission has suspended the licence of a former ICBC International Securities representative for failures in his work on a 2009 IPO.
Coutts Co fined in Singapore
The Monetary Authority of Singapore has fined Coutts & Co for allowing an employee to conduct fund management activities without the required authorisation.
Baring AM awarded RQFII licence
The RQFII licence will allow Baring Asset Management direct access to mainland Renminbi-denominated equity and fixed income securities.
Hong Kong fines UBS securities advisor
Hong Kong’s regulator has fined a client adviser at UBS HK$400,000 ($51,600) for failing to properly handle a client’s trade orders.
