Hong Kong’s SFC has awarded Paragon Capital Management a licence for Type 4 and Type 9 activities.
Tag: Securities and Futures Commission
SFC sets out priorities for HK securities markets
The roadmap includes strengthening ties with mainland China.
Hong Kong’s asset and wealth industry sees AUM fall
The fall in AUM occurred despite net fund inflows of HK$88bn in Hong Kong last year.
HKMA, SFC issue joint circular on sophisticated professional investors
According to the joint circular, intermediaries may apply a streamlined approach when dealing with SPIs.
PGIM’s Unanyants-Jackson: Singapore a good model for ESG disclosure
PGIM’s global head of ESG discusses the Singaporean model for ESG disclosure and the SEC’s proposals on the labelling of ESG funds.
The FSA Spy market buzz – 4 March 2022
Capital Group joins ETF bandwagon; Abrdn’s bloated fund range; Hong Kong’s SFC is just fine; Capturing tanks in Ukraine; Thoughts on LTCM; Browder’s Red Notice; advertising and much more.
Hong Kong relationship manager banned for 10 years
The banker “misrepresented” her academic qualifications to former employers Julius Baer and Bank of Singapore.
SFC probes HSBC dividend cut after backlash
Overwhelmed by investor complaints, the Hong Kong regulator contacts UK regulators and HSBC and issues a rare public statement on the case.
SFC raises concerns about illiquid assets
Hong Kong’s regulator emphasises the need for rigorous risk management by intermediaries in the wake of liquidity problems in high profile funds.
Northbound MRF sees $480bn in 2018 outflows
Northbound funds under the Mutual Recognition of Funds (MRF) scheme continue to see outflows, although more asset managers plan to sell Hong Kong-domiciled funds on this platform, according to China’s financial regulators.
