Tag: SFC
SRP in brief: trying to move on
International | Industry
12 Oct 2020 by Amélie Labbe
Asia Pacific has seen a lot of movement in the past week, with two high-profile people moves, legal updates and product launches.
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People: LSE-backed fintech hires former HSBC MTN, structured note lead
International | People
18 Oct 2019 by SRP News
Nivaura, the London-based regulated fintech startup backed by the London Stock Exchange Group behind the infrastructure of structured products platform Resonance X, has hired senior banker Chris Jones from HSBC.
Hong Kong SAR Market Review - Q3 2019
Asia Pacific | Market Reviews
10 Oct 2019 by Nikola Nedev
The Hong Kong Exchanges and Clearing (HKEX) has abandoned its £32bn takeover offer for the London Stock Exchange (LSE) after being ‘unable to engage’ with management on the deal.
Hong Kong SAR Market Review – Q2 2019
Asia Pacific | Market Reviews
31 Jul 2019 by Nikola Nedev
Stocks in Hong Kong continue to fall amid ongoing concerns surrounding the economic fallout anti-government demonstrations.
New SFC rules will create a level-playing field for online, offline distributors
Asia Pacific | Regulations & Legal
04 Jul 2019 by Jihye Hwang
A new set of rules introduced by Hong Kong’s Securities and Futures Commission (SFC) on complex products will take effect this weekend. The new guidelines come into effect after a three-month extension from the initial implementation date.
SFC offers further guidelines on complex product sales
Asia Pacific | Regulations & Legal
13 Jun 2019 by Jihye Hwang
The Hong Kong regulator has published new guidelines setting out the requirements for the online and offline sale of complex products, including structured products, which will become effective early next month.
Hong Kong watchdog aligns sale of complex products to prevent regulatory arbitrage
Asia Pacific | Regulations & Legal
04 Oct 2018 by SRP News
Aligning the requirements for intermediaries to conduct suitability assessments of clients in the sale of complex products so they are the same online and offline levels the playing field, provides better protection for customers and prevents regulatory arbitrage, Julia Leung, deputy chief executive officer and executive director of intermediaries at Hong Kong's Securities and Futures Commission.
