Capital Markets & Derivatives

1 to 10 of 10
  • Retail Structured Products Regulation Tracker Restricted access


    Last Reviewed: 18 November 2014 / Submitted: 23 December 2011

    The global financial crisis has placed regulators under increased pressure to look into ways to regulate sales of structured products to retail investors. This microsite provides access to the materials on this topic being produced internationally.

  • The Advanced Schuldschein Guide


    Submitted: 03 April 2014

    This Advanced Schuldschein Guide is aimed to professionals in the capital markets, who want to get a deeper understanding of the functioning and legal basis of Schuldschein loans.

  • Data privacy compliance - regional developments and hot topics for financial institutions and asset managers Restricted access


    Submitted: 23 October 2013

    This seminar looks at issues arising from recent developments in data privacy law, including hot topics such as monitoring and direct marketing.

  • New private banking regulation in Hong Kong - a case of the Emperor’s new clothes? Restricted access


    Submitted: 18 June 2012

    The Hong Kong Monetary Authority issues its vision for Hong Kong as a private banking hub. Is the private banking industry best served by two masters?

  • SFC Consultation Conclusions on Proposals to Enhance Protection for the Investing Public: impact on unlisted structured investment products Restricted access


    Last Reviewed: 06 June 2010 / Submitted: 06 June 2010

    This article looks at the key proposals, adopted in the Consultation Conclusions on Proposals to Enhance Protection for the Investing Public, relating to unlisted structured investment products and the regulation of intermediaries.

  • SFC Consultation Conclusions on Reforms to the CO/SFO Offering Regimes Restricted access


    Last Reviewed: 27 April 2010 / Submitted: 27 April 2010

    On 22 April 2010, the Securities and Futures Commission published its Consultation Conclusions on Possible Reforms to the Prospectus Regime in the Companies Ordinance and the Offers of Investments Regime in the Securities and Futures Ordinance. This article provides a snapshot of the key observations from the Consultation Conclusions.

  • Asian Bankers` Counsel Poll 2010 Restricted access


    Last Reviewed: 16 March 2010 / Submitted: 16 March 2010

    For the third year running Simmons & Simmons has sponsored the IFLR`s Asian Bankers` Counsel Poll. A questionnaire was put together with the help of a committee of leading senior in house counsel at some of the world`s largest international banks, senior

  • Oversight November 2009 - Consultation on the regulation of intermediary conduct and selling practices Restricted access


    Last Reviewed: 17 November 2009 / Submitted: 11 November 2009

    Following on from Oversight October 2009, we look at the Hong Kong Securities and Futures Commission's (SFC) proposed changes to enhance the conduct of SFC licensed persons in the sale of investment products.

  • Asian Bankers` Counsel Poll 2009 Restricted access


    Last Reviewed: 31 March 2009 / Submitted: 31 March 2009

    Simmons & Simmons has sponsored the Asian Bankers` Counsel Poll, published by IFLR. Designed with input from a committee of senior inhouse counsel from some of the world`s largest banks, peers at international banks with an Asian presence were surveyed on

  • Asian Bankers` Counsel Poll 2007 Restricted access


    Last Reviewed: 08 November 2007 / Submitted: 08 November 2007

    The report is highly relevant to everyone working in the financial institutions sector in Asia. It highlights counsels` views on recent trends in the Asian markets, ranging from the risks associated with structured products, to disclosure standards of Chi

1 to 10 of 10