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 9 months ago
Ashley Alder, HK SFC Chief Executive Officer
By Steve On Wednesday, June 15th, 2016
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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 Friday, June 3rd, 2016
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HK SFC Alder Speech

Ashley Alder, chief executive officer of the Securities and Futures CommissionThe last time I spoke at an HKSI lunch was about 18 months ago, which was only a week after the launch of Shanghai-Hong Kong Stock Connect. More...

Ashley Alder,  chief executive officer of the Securities and Futures Commission
By Steve On Tuesday, May 31st, 2016
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HK SFC reprimands and fines Guotai Junan Securities $1.3 million

Ashley Alder, chief executive officer of the Securities and Futures CommissionThe Securities and Futures Commission (SFC) has reprimanded and fined Guotai Junan Securities (Hong Kong) Limited (Guotai Junan) $1.3 More...

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

By Steve On Friday, February 6th, 2015
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HK SFC welcomes appointment of Executive Director

Ashley Alder, HK SFC CEO –The Securities and Futures Commission (SFC) today welcomes the appointment by the Financial Secretary of Ms Julia Leung as Executive Director of the Investment Products Division for More...

Ashley Alder,  chief executive officer of the Securities and Futures Commission
By Steve On Thursday, January 29th, 2015
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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 Monday, November 10th, 2014
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Regulators Approve Launch Of Shanghai-Hong Kong Stock Connect

Ashley Alder, HK SFC CEO –The Securities and Futures Commission (SFC) and the China Securities Regulatory Commission (CSRC) have approved the launch of the Shanghai-Hong Kong Stock Connect pilot scheme following More...

By Steve On Monday, October 20th, 2014
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HK SFC Signs MoU With CSRC To Strengthen Enforcement Cooperation Under Shanghai-Hong Kong Stock Connect

Ashley Alder, HK SFC CEO – The Securities and Futures Commission (SFC) and the China Securities Regulatory Commission (CSRC) on 17 October entered into a Memorandum of Understanding (MoU) on strengthening More...

By Steve On Thursday, October 9th, 2014
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HK SFC Urged Market Participants To Comply With Short Position Reporting

Ashley Alder, HK SFC CEO –The Securities and Futures Commission (SFC) on 9 October reminds all market participants to comply with the requirements under the Short Position Reporting Regime (Regime) after the More...

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