Sfc Archives | Fund Selector Asia

SFC bans ex-Hang Seng RM

A former Hang Seng Bank relationship manager who carried out unauthorised transactions is slapped with a two-year ban.

HSBC PB fined for compliance failures

HSBC Private Bank has been reprimanded and fined for failing to record around 6000 client order phone calls in two separate incidents over a 10-month period.

Data | 3 Sep 19

SFC removes spate of asset management licences

In August, the Hong Kong regulator removed nine licences and year-to-date, a total of 23 Type 9 licence holders have de-registered. But what are the reasons behind it?

SFC warns about illiquid investments

Hong Kong’s Securities and Futures Commission (SFC) finds deficiencies and inadequacies in fund managers’ liquidity risk management practices.

Banks handed tighter regs on fund due diligence

SFC’s recently introduced “complex product” regulations have extended retail investor due diligence requirements to professional investors.

SFC bans former UBS director for life

As a manager of investment portfolios for clients in Hong Kong, he was convicted of accepting illegal commission payments.

Market turmoil hits Hong Kong AUM

Despite net inflows, assets under management in Hong Kong declined 5% year-on-year in 2018, according to a Securities and Futures Commission (SFC) survey.

Ex-Goldman exec banned for life in HK

For involvement in the 1MDB scandal, Tim Leissner also has a lifetime prohibition on entering Singapore’s financial industry.

SFC fines Credit Suisse for disclosure failures

Credit Suisse has been fined HK$2.8m (US$358,000) for failing to comply with disclosure requirements for certain research reports it published, according to a statement from the Securities and Futures Commission (SFC).

Hong Kong and Netherlands sign MRF agreement

The Securities and Futures Commission (SFC) and the Dutch Authority for Financial Markets (AFM) have entered into a memorandum of understanding (MoU) on mutual recognition of funds (MRF).

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