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HK SFC welcomes appointment of Executive Director
Ashley Alder, HK SFC CEO -The Securities and Futures Commission (SFC) today >>
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HK SFC unveils report on asset management
Ashley Alder, HK SFC CEO -The Securities and Futures Commission (SFC) published >>
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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 >>
All Hong Kong Regulators
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 a three-year term effective from 2 March 2015. Ms Leung will succeed Mrs Alexa Lam who >>
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 series of meetings conducted by the Risk and Strategy unit (R&S;) from March to November >>
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 the finalization of all necessary regulatory approvals and relevant regulatory >>
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 cross-boundary regulatory and enforcement cooperation under the proposed Shanghai-Hong Kong >>
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 SFC has identified deficiencies and shortcomings since the implementation of the Securities >>
HK SFC Welcomes re-appointment of its Chief Executive Officer
Ashley Alder, HK SFC CEO -The Securities and Futures Commission (SFC) today welcomes the re-appointment of Mr Ashley Alder as its Chief Executive Officer for another three-year term effective from 1 October 2014. “I am delighted that Ashley has been re-appointed for another term. Ashley has >>
HK SFC Commences Proceedings Against CITIC, Its Former Chairman And Executive Directors
Ashley Alder, HK SFC CEO -The Securities and Futures Commission (SFC) has instituted proceedings on 11 September in both the Court of First Instance and the Market Misconduct Tribunal (MMT) against CITIC Limited (CITIC) and five of its former executive directors, namely chairman Mr Larry Yung Chi >>
Assessing The Impact Of The HK SFC’s Electronic Trading Regulations
Zoltan Feledy, Director, Asia Pacific Execution Sales, Bank of America Merrill Lynch - The Hong Kong Securities and Futures Commission’s regulations on electronic trading came into effect at the beginning of 2014. As the market was preparing to comply with the upcoming regulations, through our >>
Four-party Agreement For Shanghai-Hong Kong Stock Connect Signed
Charles Li CEO HKEx -The Stock Exchange of Hong Kong Limited (SEHK) and Hong Kong Securities Clearing Company Limited (HKSCC), wholly-owned subsidiaries of Hong Kong Exchanges and Clearing Limited (HKEx), signed an agreement (the Four-party Agreement) on 4 September with the Shanghai Stock Exchange >>
HK SFC Bans Manesh Vijaykumar Samtani For Life
Ashley Alder, HK SFC CEO -The Securities and Futures Commission (SFC) has banned Mr Manesh Vijaykumar Samtani, a former licensed representative of KGI Asia Limited and KGI Futures (Hong Kong) Limited (collectively KGI), from re-entering the industry for life (Note 1). The SFC found that, from >>
