Regulation Archives - Page 5 of 45

Hong Kong regulator warns investors about NFTs

Firms are reminded about licensing rules when marketing the asset as part of a collective investment scheme.

Bank of China and Everbright Bank were charged for violations in their wealth management units.

The regulator looks to build greater trust in the sector.

After he ‘operated a client account discretionarily without obtaining written authorisation’.

Loh Thim Mun Marcus was found to have transferred clients’ money to his personal account.

After they used false certificates to prove they had minimum requirements to apply to be insurance agents.

Brokerages will compete with 23 eligible banks in Hong Kong for southbound services under the cross-boundary Wealth Management Connect.

The creation of draft proposals for ISSB are expected imminently.

Temporary measures are extended until September 2022.

The firm is penalised for making errors trading under stock connect.