All posts tagged "asset manager"
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1.3KAsia-PacificMore Protectionist Regulatory Intervention on the Cards, Experts Warn
The raft of government measures designed to stave off corporate raiders is unlikely to abate soon, compliance practitioners say.
May 25, 2020 -
1.3KChinaFidelity Applies for Approval to Sell Retail Funds in China
Fidelity already operates four privately managed funds in China targeting institutional clients and high net-worth individuals.
May 21, 2020 -
990ChinaCSRC Starts Accepting Licence Applications from US Fund Managers
BlackRock and Neuberger Berman applications to set up wholly-owned mutual fund units were accepted on the first day foreign ownership caps were scrapped in China.
April 2, 2020 -
718Hong KongSFC Provides Additional Guidance on Sale of Complex Products
Paragraph 5.5 of the Code of Conduct is only applicable for unsolicited purchases of complex products. Intermediaries can apply a risk-based approach to disclosures for repeat purchases.
June 14, 2019 -
588EnforcementMAS Reprimands Asset Manager for Late Regulatory Submissions
Annual declarations, auditor reports and director change notifications were submitted up to three years late by Taiyo Asset Management; director found guilty of misconduct for failure to implement compliance controls.
July 8, 2018 -
857Feature
Singapore to Introduce New Corporate Structure For Funds
S-VACC, Singapore’s new investment firm structure, will come into effect by next year and will help boost synergies between firm management and domiciliation, according to MAS managing director.
June 7, 2018
