All posts tagged "Ashley Alder"
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616EnforcementSFC Fines UBS and Others HK$787mn for IPO Sponsor Failures
“The sanctions send a strong and clear message to the market that we will not hesitate to hold errant sponsors accountable for their misconduct,” said SFC chief Ashley Alder.
March 15, 2019 -
373Hong KongSFC Issues Update on ‘Front Loaded’ Approach to Listing Rules
The SFC "will not hesitate to intervene at an early stage" when it has serious concerns about IPO applications or post-IPO corporate transactions.
February 22, 2019 -
582Feature
UPDATED – Hong Kong SFC Revamps Licensing Processes
The move is aimed at halting "rolling bad apples" in their tracks by requiring firms to provide the SFC with details about employee departures, says Herbert Smith Freehills.
February 4, 2019 -
753Featured ArticlesHong Kong Targets Investor Protection in New Approach to Crypto Regulation
The SFC will bring crypto-asset portfolio managers, fund distributors and eventually exchanges under its regulatory net, said Ashley Alder at Hong Kong Fintech Week.
November 2, 2018 -
412FeatureHong Kong, UK Sign Mutual Recognition of Funds Agreement
The agreement allows eligible funds in Hong Kong and the UK to be distributed in each other’s market through a streamlined process.
October 9, 2018 -
576ChinaHong Kong Lays Out Road Map for Green Finance Development
The SFC will require better environmental and climate risk disclosures by listed companies and asset managers, and will work with HKEX to promote green financial products.
September 24, 2018 -
AML / KYC
Hong Kong-China to Share Stock Connect Broker, Trader Names
SFC chief says move will enhance market transparency and surveillance, and improve efficiency in cracking down on malpractice.
October 11, 2017
