HK SFC reprimands and fines Schroder Investment Management $1.8 million

Ashley Alder,  chief executive officer of the Securities and Futures Commission

Ashley Alder, chief executive officer of the Securities and Futures CommissionThe Securities and Futures Commission (SFC) has reprimanded and fined Schroder Investment Management (Hong Kong) Limited (Schroder) $1.8 million for failing to disclose all notifiable interests in Hong Kong listed shares (Note 1). An SFC investigation found that from August More...

by Steve | Published 8 months ago
Ashley Alder, HK SFC Chief Executive Officer
By Steve On Wednesday, June 15th, 2016
0 Comments

HK SFC fines State Street Global Advisors $4 million

Ashley Alder, HK SFC Chief Executive OfficerThe Securities and Futures Commission (SFC) has reprimanded and fined State Street Global Advisors Asia Limited (SSGA) $4 million for its failure to comply with regulatory More...

Ashley Alder,  chief executive officer of the Securities and Futures Commission
By Steve On Thursday, May 7th, 2015
0 Comments

HK SFC recovers $190 million for investors of collapsed hedge fund

Ashley Alder, chief executive officer of the Securities and Futures CommissionThe Securities and Futures Commission (SFC) today resolved proceedings involving the Descartes Athena Fund SPC (the Athena Fund), paving More...

Kunio Watanabe, President and CEO of Nomura Asset Mangement
By Steve On Wednesday, February 18th, 2015
0 Comments

Nomura Reorganizes Asset Management Division

Kunio Watanabe, President and CEO of Nomura Asset MangementNomura Holdings, Inc. (Nomura) today announced plans to reorganize three core companies in its Asset Management division: Nomura Asset Management Co., Ltd. More...

Richard Bisson, President of Nomura Asset Management U.K.
By Steve On Tuesday, February 3rd, 2015
0 Comments

Nomura Asset Management launches new bond fund

Richard Bisson, President of Nomura Asset Management U.K.Nomura Asset Management U.K. Ltd. (NAM) has launched the Global Dynamic Bond Fund, designed to provide investors with a more diversified approach to fixed More...

Ashley Alder,  chief executive officer of the Securities and Futures Commission
By Steve On Thursday, January 29th, 2015
0 Comments

HK SFC unveils report on asset management

Ashley Alder, HK SFC CEO –The Securities and Futures Commission (SFC) published a second report in its risk-focused industry meeting series entitled Asset Management: Looking Forward. The report follows a More...

By Steve On Friday, November 21st, 2014
0 Comments

BMO’s LGM Investments Appoints Stephen Ma As Head Of Greater China Equities

LGM Investments Limited, a part of BMO Global Asset Management, on 21 November announced that Stephen Ma has been appointed Head of Greater China Equities. He will be based in Hong Kong and will report directly More...

By Steve On Thursday, November 13th, 2014
0 Comments

Citi Awarded Custody Role For Aberdeen Asset Management RQFII Mandate

Jervis Smith, Regional Head of Client Sales Management Asia, Citi –Citi has been appointed as a custodian bank by Aberdeen Asset Management Asia Limited (“Aberdeen”), with Citi Markets and Securities Services More...

By Steve On Thursday, November 6th, 2014
0 Comments

Nomura And Allshores Launch New Name Of Asset Management Joint Venture In Taiwan

Nomura Asset Management Co., Ltd., a wholly owned subsidiary of Nomura Holdings, Inc., and Allshores Group on 6 November celebrated the renaming and rebranding of their joint venture, Nomura Asset Management Taiwan More...

By Steve On Thursday, November 6th, 2014
0 Comments

Nomura Joins Trading Technologies’ MultiBroker Platform

Trading Technologies International, Inc. (TT), a provider of high-performance professional trading software, and Nomura, a leading Asia-based financial services group, today announced Nomura is now a participating More...

All Rights Reserved WIld Wild Web Limited