Tag: SFC
SRP in brief: strong voices
International | Industry
08 Aug 2022 by Amélie Labbe
This past week so a few regulatory developments in some of key markets, as well as the launch of a new player in Switzerland.
 copy.png)
People: UBS GWM veteran departs, US family office taps former CS structured products head
International | People
13 Jul 2022 by SRP News
Iqbal Khan becomes sole president of the bank’s global wealth management arm; former head of structured product sales and development at Credit Suisse joins Rockefeller; and more.
Latest: Thailand’s Krungthai promotes THOR-linked inverse floaters
International | Industry
11 Jul 2022 by Summer Wang
Krungthai Bank has expanded its offering of inverse floater notes following six tranches last month, which had collected THB1 billion.
SFC grants ELI authorisation to new foreign investment banks
Asia Pacific | Products
22 Jun 2022 by Summer Wang
The Hong Kong regulator has released its annual report of FY21/22 today (22 June).
SRP in brief: first movers
International | Industry
07 Mar 2022 by Amélie Labbe
This past week saw SG issue a first US equity DLC in Singapore, Credit Suisse trade high numbers on its new big data analytics-linked index, and a new investment platform launch in France.
 copy square.png)
HSBC fined over false warrant market making, SFC launches review
Asia Pacific | Regulations & Legal
03 Mar 2022 by Summer Wang
The Asia brokerage arm of the UK bank has been fined a total of HK$7.3m (US$934,200) for several internal control failures including the self-matching of 370 derivative warrants (DWs).
SFC highlights new Q2 derivatives, boost in asset management
Asia Pacific | Products
09 Dec 2021 by Summer Wang
The Hong Kong SAR Securities and Futures Commission’s (SFC) latest quarterly report shows steady structured product activity and strong asset management activity.
Survey: Structured products almost half of HK’s OTC market in 2020
Asia Pacific | Industry
07 Oct 2021 by Summer Wang
A survey conducted by two Hong Kong SAR financial watchdogs has found that structured products accounted for nearly half of the OTC investment transactions in 2020, led by equity underlyings.
Hong Kong regulator fines UBS for structured notes mis-selling
Asia Pacific | Regulations & Legal
03 Aug 2021 by Summer Wang
The Securities and Futures Commission (SFC) has fined UBS AG and UBS Securities Asia HK$9.8m (US$1.3m) and HK$1.75m, respectively, over various regulatory breaches including the mis-selling of 12 structured notes to 15 clients.
