Tag: Hong Kong
SFC fines Bank of China over internal system and control failures
Asia Pacific | Regulations & Legal
18 Mar 2019 by Pablo Conde
Hong Kong regulator reprimands and orders BOCI Securities Limited to pay HK$10 million (US$1.3 million) for regulatory breaches in selling investment products
Issuers on their marks as HK regulator weighs up inline warrants
Asia Pacific | Industry
15 Feb 2019 by Jihye Hwang
Regulators in Hong Kong are mulling over the introduction of inline warrants as issuers eagerly wait for the greenlight.
HKEx opens up ETP market to non-securities market makers
Asia Pacific | Products
03 Jan 2019 by SRP News
Hong Kong's exchange moves to expand market making and liquidity pool
Structured products drive 34% increase in investment products sales in Hong Kong
Asia Pacific | Industry
07 Dec 2018 by SRP News
The Hong Kong Securities and Futures Commission (SFC) unveils the results of a fact-finding survey on the sale of non-exchange traded investment products and issues circular aimed at intermediaries selling of complex and high-risk products
Solactive expands global footprint in Apac push
Asia Pacific | Indices
18 Oct 2018 by Pablo Conde
German index provider Solactive has rolled out its second international business entity in Hong Kong following the launch of its Toronto office earlier this year
