SFC
Profiles & Comment | 27 Jun 11
‘Gestapo-like’ mystery shopping is step too far
The chairman of Hong Kong’s IFA Association says regulators’ mystery shopping is a step too far
HK IFAs to get ‘mystery’ visit from regulator
IFAs in Hong Kong are to be investigated by undercover mystery shoppers.
Julius Baer in Hong Kong fined $3m
Julius Baer in Hong Kong has been fined HK$3m for compliance failings
Survey identifies weak spots in SFC
Most are satisfied with the overall performance of the SFC but there is room for improvement.
Regulator says SFC licence not needed to sell fund-linked insurance products in Hong Kong
The Securities and Futures Commission (SFC), which regulates Hong Kong’s stock and futures markets, has declared that insurance intermediaries and brokers do not require an SFC investment advisers’ li