The China Securities Regulatory Commission has cleared doubts about the beneficial ownership of QFII and RQFII schemes, ahead of the June decision to include A-shares in key MSCI indices.
Category: Regulation
SFC bans ex-HSBC portfolio manager
The Securities and Futures Commission has penalised Yeung Chun Him for breaching the code of conduct and the personal data ordinance.
CSRC cautions on bond risks
After the Chinese regulator urged a more thorough risk analysis, some mainland brokers have refused to issue bonds from privately-owned companies amid default concerns, mainland media reported.
HSBC PB appeals record SFC fine
In a misconduct case more than a decade old, HSBC Private Bank has launched an appeal against a record HK$605m regulatory fine ($78m) and the possible revocation of its license to advise on securities.
Chinese AM industry cleanup underway
More than 2,000 private fundraising and management firms will be forced out of the Chinese market, according to the China Securities Regulatory Commission and the Asset Management Industry Association of China.
Offshore bonds issuance relaxed
China’s central bank has relaxed the rules for mainland corporates to issue offshore bonds, according to the People’s Bank of China.
MAS penalizes asset manager
The Monetary Authority of Singapore has taken enforcement action against Pu Weidong and Triumpus Assets Management for insider trading.
Moody’s appeals HK ruling
The ratings agency has appealed the decision to fine and reprimand it for a critical analysis of Chinese companies.
SFC bans HSBC’s Chow for life
Hong Kong’s Securities and Futures Commission has banned Andrew Chow Ho-cheung from re-entering the industry for life after he was convicted for fraud and theft.
Hong Kong ruling may curtail critical analysis
Hong Kong’s recent ruling on Moody’s Ratings for a research report will have a chilling effect on further critical research, argues activist David Webb.
