All posts tagged "Ashley Alder"
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396InternationalIOSCO Unveils Framework for Monitoring Leverage-related Risks in Funds
IOSCO has developed a framework for monitoring leverage across all types of investment funds globally, to help regulators assess leverage-related risks that can undermine financial stability.
December 16, 2019 -
278Hong KongHong Kong SFC Waives Licensing Amid ‘Challenging Market Environment’
The decision was made to relieve the regulatory cost burden on the securities and futures industry, taking into account the "current challenging market environment".
December 5, 2019 -
331Enforcement
SFC Warns Against Concealing Identities of Transacting Counterparties
Listed entities should disclose counterparties’ controllers and beneficial owners in corporate transactions. Asset managers should maintain effective controls to detect dubious arrangements or transactions.
November 22, 2019 -
410EnforcementUBS to Pay HK$600m in Fines and Compensation for Overcharging Clients
The SFC reprimanded and fined UBS for overcharging clients over a ten-year period, affecting 5,000 Hong Kong-managed client accounts in over 28,000 transactions.
November 12, 2019 -
2.2KAML / KYCSFC Unveils Regulatory Framework for Crypto Exchanges
Under the new framework, announced at Hong Kong Fintech Week, platform operators that offer trading in virtual assets classified as securities may seek Type 1 and Type 7 licences from the SFC.
November 7, 2019 -
931Feature
SFC Issues Guidance on Outsourcing of Data Storage
Licensed corporations must ensure cyber and operational risks are properly mitigated and that the SFC’s access to regulatory records is not restricted or otherwise undermined.
November 1, 2019 -
423Contributed ArticleExperts Bemoan Hong Kong’s Slow Green Finance Reform
The city's regulator and central bank must introduce guidance and rules more aggressively if they want to show that Hong Kong is committed to green finance, say industry participants.
September 24, 2019 -
703FeatureHong Kong Cracks Down on Backdoor Listings, Shell Activities
Effective from 1 October, new rules from HKEX will prohibit large disposals of businesses or assets by listed companies for three years following a change in control.
July 29, 2019 -
759ChinaSFC Gains Access to Mainland Audit Papers for Investigations
The MOF and CSRC agree to provide the "fullest assistance" in response to SFC requests for investigative assistance regarding the provision of audit working papers.
July 4, 2019 -
559EuropeHong Kong, Netherlands Agree Mutual Recognition of Funds
Hong Kong and Dutch regulators have set out a framework for the exchange of information and mutual recognition of funds registered in both jurisdictions.
May 16, 2019
