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Showing 21 - 29 of 29 results for "Futures Commission"

No complaints for HK regulator

MICHAEL HOBBS  |  TUESDAY, 29 JUN 2010
... an overall thumbs up from market participants. The Neilson Company survey commissioned by the Securities and Futures Commission (SFC) found more than three quarters of respondents were either 'satisfied' or 'very satisfied' with the regulator's work. ...

Fundies caught in $5m heist

SFC RELEASE  |  TUESDAY, 4 MAY 2010
... again after it caught the fund's directors guilty of insider trading - twice. Last August, the Securities and Futures Commission (SFC) applied for an injunction order to freeze up to $4 million (HK$29.9 million) of assets of the fund and three of its ...

HK investors win big on game show

COMPANY RELEASE  |  MONDAY, 19 OCT 2009
... investments game show where contestants can win up to $7,000 in cash prizes. The first round of the Securities and Futures Commission (SFC)'s Investment Triathlon, which has been running for three years, is run through the Hong Kong Economic Times newspaper. ...

Hong Kong cracks down on Lehman Bros

RUTH LIEW  |  WEDNESDAY, 15 JUL 2009
... statement, the HKMA referred 482 Lehman Brothers-related cases since 17 October 2008 to the Securities and Futures Commission for what it termed "further action". These cases included those that involved 16 banks. They have been reviewed by the HKMA ...

Aust and HK strengthen retail ties

RUTH LIEW  |  TUESDAY, 8 JUL 2008
... other's markets following ASIC's signing of a mutual recognition declaration with the Hong Kong Securities and Futures Commission (SFC). For the first time, Australian managed investment schemes will be available to investors in Hong Kong, subject to ...

Mainland China and HK unite for mutual funds

MICHAEL HOBBS  |  TUESDAY, 18 SEP 2007
... Investment Funds Association (HKIFA) said. Hosted by HKIFA, the forum allowed the Hong Kong Securities and Futures Commission (SFC), China Securities Regulatory Commission (CSRC) to discuss issues that affect all three institutions. The growth of the ...

ASIC reorganizes management following Johnston departure

... of compliance following the departure of Ian Johnston. Johnston, who will join the Hong Kong Securities and Futures Commission next month, was previously director of financial services regulation. ASIC has used Johnston's departure to reorganise its ...

ASIC loses Johnston to Hong Kong

... director of financial services regulation, has been appointed to a senior role at the Hong Kong Securities and Futures Commission. "This appointment is recognition of the high calibre of ASIC staff and the strong regard in which ASIC is held internationally," ...

Wholesale foreign financial service providers get ASIC relief

... Under the class order: US CFTC regulated financial services providers, those exempt from holding an AFS include futures commission merchants, introducing brokers, commodity pool operators and commodity trading advisors who are registered with the CFTC ...
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