Cash balances in related party’s demand deposit accounts earned no interest over 4.5 years.
SFC could become ‘last gatekeeper’ in IPO process, also set to review back-door listings.
Shanghai Futures Exchange platform could initially trade crude oil futures.
SFC says securities firm took more than six months to comply with two-day disclosure rule.
SFC and FINRA sign agreement on regulation of entities with cross-border operations.
Brokers could be required to disclose identities of individuals making equity trades.
Programme to cover cyber resilience assessment, professional development and information sharing.
Hong Kong SFC’s punitive measures are unlikely to make investing safer for advisors or clients.
Private banking unit was hit with HKD605mn SFC fine in July 2015.
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