SFC
UK and Hong Kong regulators open up retail fund sales
Investors in both markets will have greater choice
Hedge fund manager enters Hong Kong retail market
Regulator has given the green light for Foundation AM to roll out an equity fund
Hong Kong regulator fines wealth manager HK$5m
Wealth manager Noah Holdings was fined by Hong Kong’s regulator for failure to comply with several requirements, including know-your-client and due diligence matters.
China quadruples mainland-Hong Kong trading scheme quotas
China’s securities regulator has announced a four-fold increase in the daily trading quotas for Stock Connect, the programme that links the Shanghai and Shenzen stock exchanges with their Hong Kong counterpart.
Hong Kong regulator targets big guns
In separate moves, Hong Kong’s Securities and Futures Commission (SFC) this month has gone after UBS, Deutsche Bank and brokerage firm CLSA for regulatory breaches.