SFC

Asia | 2 Sep 24

His criminal convictions led the SFC to consider him not a fit and proper person to be licensed or registered to carry on regulated activities

Asia | 20 Feb 23

In a bid to make sure investors are ‘adequately protected and key risks are effectively managed’

Companies | 11 Jan 23

Sipp provider names interim CEO, while UAE advice firm makes c-suite change

Asia | 16 Dec 22

Bank names chief executive of wealth management international, as Hong Kong regulator replaces outgoing CEO Ashley Alder

Asia | 9 Nov 22

It failed to monitor record keeping and trading activities in discretionary accounts