An investment portfolio manager in Hong Kong has been convicted of providing asset management services without first obtaining a licence from the Securities and Futures Commission (SFC).
Category: Regulation
HKG SFC reappoints CEO
The Hong Kong Securities and Futures Commission has re-appointed Ashley Alder as its chief executive officer for another three-year term, the regulator said.
FATCA inches closer to law in Singapore
The Monetary Authority of Singapore (MAS) has published proposed regulations, enshrining Americas controversial tax Act FATCA into law.
BNP Paribas Investment Partners wins RQFII license
BNP Paribas Investment Partners plans to launch a range of funds after receiving an RMB qualified foreign institutional investor (RQFII) license from the China Securities Regulatory Commission.
Hong Kong regulators move against CITIC
Hong Kong’s Securities and Futures Commission has taken legal action against CITIC and five of its former executive directors, alleging market misconduct.
Chinese officials probe Morgan Stanley
A Chinese inquiry team has visited the offices of Morgan Stanley Huaxin Securities in Shanghai to further an ongoing investigation into a former official who was held in August on suspicion of taking bribes, the Financial Times has reported.
Investors get access to Asean CIS framework
The ASEAN collective investment scheme framework (CIS) has been launched, allowing investors in Singapore, Malaysia and Thailand access to cross-border financial products.
Singapore not gaining from illicit flow
Singapore has put in place measures to prevent fund flows linked to anti-money laundering and tax avoidance from jurisdictions such as Switzerland, Monetary Authority of Singapore managing director Ravi Menon has said in an interview.
Singapore to regulate non conventional
The Monetary Authority of Singapore has announced a set of measures to offer enhanced protection to investors, which includes bringing some non-conventional investment products under its regulatory purview.
ICI recommends key improvements to
ICI Global has recommended several changes to the Asia Region Funds Passport initiative (ARFP) in order to make the scheme more “economically and operationally feasible”.
