He ‘failed to act with due skill, care and diligence and in the best interests of the clients’.
Tag: SFC – Securities and Futures Commission
Gao Teng to roll out GEM bond offering
The firm has been active in launching new products, as well as targeting investors outside Hong Kong.
SFC raises stakes on climate change
The Hong Kong regulator wants to force fund managers to include climate-related risks in their processes, and increase disclosure.
PB clients crave for ESG information, says Citi
Regulators also play a key role in making information more accessible to investors, according to the SFC.
CSOP AM brings 5G China ETF in Hong Kong
It will be the second product under the new ETF connectivity scheme between Hong Kong and the mainland.
HSIM to list first ETF under HK-China connectivity scheme
Hang Seng Investment Management will be listing a feeder ETF in Hong Kong that will invest its assets into the Shenzhen-listed Harvest CSI 300 ETF.
SFC adds more ESG-approved funds
They include new products that will be managed by Haitong International AM and Sun Life Asset Management.
Sun Life AM joins ESG bandwagon in Hong Kong
The firm is expected to roll out its first retail mutual fund in the SAR, which has also been added to the SFC’s list of green and ESG funds.
SFC warns about social media scams
Ramp and dump scams account for around 20% of the market manipulation cases currently under investigation by the SFC.
T Rowe adds distribution partner in Hong Kong
It will be the first time that the firm has partnered with an insurer in the SAR.
