Hong Kong’s Securities and Futures Commission has publicly scolded and fined HSBC for regulatory breaches and internal control failings.
Tag: HSBC
Hong Kong regulator bans two ex-HSBC advisers for life
Hong Kong’s Securities and Futures Commission (SFC) has banned two former HSBC employees from re-entering the financial services industry for life after they were convicted of fraud.
The FSA Spy market buzz – 05 August 2016
Franklin Templeton summons to HQ; Change at Pioneer; Strategy move for Eastspring; Robo-advice; Goldman is disrupting; HSBC prepares for negative rates, and much more.
HSBC and Standard Chartered shares jump despite profit slides
Shares in HSBC jumped 3.6% on Wednesday despite it revealing a 29% slide in profits to $9.7bn for the first half.
UK firm jumps at China’s $7trn bond market
UK-based Insight Investment has become the first overseas financial institution to access China’s interbank bond market.
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.
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.
OPINION: London vs Hong Kong – out of the frying pan…?
Even by the very nature of its name, HSBC has always been the most Asian-facing of the multinational super banks, so why does it want to extend its stay in London?
The FSA Spy market buzz 31 07 2015
New alternatives specialist fund selector at StanChart; changes at HSBC PB and GAM; another move to Standard Life Investments; new sales person for VAM and more.
BNP Paribas WM names NRI business head
Singh joins the firm from JP Morgan Private Bank, where he worked as executive director. He has about 20 years of experience in the wealth management industry and has previously worked with Barclays Wealth, HSBC Bank and ABN AMRO Private Bank. Singh is responsible for building and managing a team of relationship managers serving the […]