AXA IM launches a multi-premia fund; ETFs in the US continue to grow; Fidelity rolls out a digital campaign; Singapore’s 8 Capital received fund licence; Pictet AM poaches from Invesco; SFC re-appoints Ashley Alder as CEO; and others
Tag: The Securities And Futures Commission
Regulator slaps HSBC with HK$2.5m fine
Hong Kong’s Securities and Futures Commission has publicly scolded and fined HSBC for regulatory breaches and internal control failings.
HK’s SFC names executive director
Hong Kong’s Securities and Futures Commission has appointed Christina Choi as executive director of investment products.
SFC: Hong Kong PB AUM rises sharply
Hong Kong’s private banking business shot up 18% to HK$3.7trn ($473bn) last year while asset management AUM fell by 4%, a Securities and Futures Commission survey has found.
SFC fines firm for failing to identify client
Hong Kong’s Securities and Futures Commission has reprimanded and fined Guotai Junan Securities (Hong Kong) for failing to reveal a client’s identity.
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.
Head of research banned for 15 years
Hong Kong’s regulator has put a 15-year ban on Gong Yue Yue, a former head of research for Orient Securities Hong Kong, for accepting a bribe.
Momentum gets fund approval from HK SFC
Momentum Global Investment Management has received approval from the Securities and Futures Commission to sell its Luxembourg domiciled Ucits fund range to retail investors in Hong Kong.
SRC plans professional investor regime overhaul
Hong Kong’s Securities and Futures Commission (SFC) has begun a three-month consultation on proposals to overhaul the regulations governing its professional investor regime.
Number of advisers in Hong Kong hits record high
The number of licensed intermediary companies in Hong Kong reached a record high this year, according to figures from the local regulator’s annual review.
