Asset Management e Fondi di Investimento

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  • Market misconduct - false trading and marking the close Accesso limitato

    Articolo

    Ultima consultazione: 12 July 2013 / Inviato: 12 July 2013

    Recent Hong Kong cases on false trading as the SFC continues to clamp down on all forms of market misconduct.

  • Anti-money laundering - storm warning signal Accesso limitato

    Articolo

    Ultima consultazione: 02 May 2013 / Inviato: 02 May 2013

    Hong Kong is tightening its grips on anti-money laundering with a ramped up AML supervision team and increased scrutiny of compliance by financial institutions.

  • Hong Kong regulatory enforcement update April 2013 Accesso limitato

    Articolo

    Ultima consultazione: 24 April 2013 / Inviato: 24 April 2013

    A round up on regulatory enforcement developments for the first quarter of 2013. The key focus areas in Q1 have been sales practices and other Code of Conduct issues.

  • Hong Kong regulatory enforcement update January 2013 Accesso limitato

    Articolo

    Ultima consultazione: 31 January 2013 / Inviato: 31 January 2013

    A round up on regulatory enforcement developments for the last quarter of 2012. Q4 saw a number of interesting developments, particularly relating to market misconduct, and these set the scene for an active 2013.

  • Financial Markets Litigation timeline: Misselling/Misrepresentation - DBS Bank Accesso limitato

    Articolo

    Inviato: 23 January 2013

    DBS Bank (Hong Kong) Limited v San-Hot HK Industrial Company Limited and Hao Ting, Court of First Instance, Hong Kong 12 March 2013 HCA 2279/2008

  • Highlights from Legal Headwinds: HK/China Accesso limitato

    Articolo

    Inviato: 16 January 2013

    Key legal and regulatory developments relevant to financial institutions operating in Hong Kong and China.

  • Hong Kong Regulatory Enforcement Update October 2012 Accesso limitato

    Articolo

    Ultima consultazione: 15 October 2012 / Inviato: 15 October 2012

    Aside from reviewing the recent trends of the SFC’s enforcement activities, this update also looks at the Hong Kong courts' recent decisions in relation to insider dealing and the news of the head of SFC enforcement renewing his service contract.

  • Labour Leader - First whistleblower rewarded under controversial Dodd-Frank provisions Accesso limitato

    Articolo

    Ultima consultazione: 27 August 2012 / Inviato: 27 August 2012

    The SEC has announced that it has paid its first bounty to a whistleblower under the controversial provisions of the Dodd-Frank Act.

  • Hedge Funds in Asia Accesso limitato

    Articolo

    Inviato: 12 August 2012

    This article outlines the principal issues which will determine the structure of a hedge fund.

  • HKMA and SFC release joint consultation conclusions on the regulation of OTC derivatives in Hong Kong Accesso limitato

    Articolo

    Ultima consultazione: 07 August 2012 / Inviato: 07 August 2012

    On 17 October 2011, the Hong Kong Monetary Authority and the Securities and Futures Commission jointly published a consultation paper on a proposed regulatory regime for the over the counter (OTC) derivatives market in Hong Kong. On 11 July 2012, the HKMA and the SFC jointly published a conclusions paper in response to this consultation.

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