All posts tagged "Intermediaries"
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874EnforcementHK SFC Releases 1st MiC Regime Guidance Bulletin
Report warns on conflicts of interest in sales practices and asset management; notes asset management sector now has more than half of all intermediaries.
December 20, 2017 -
Enforcement
HK Regulators Warn on Conflicts of Interest in Product Sales
HKMA, SFC say some intermediaries aren’t revealing related counterparties, not executing at best price, hide cheaper products.
November 27, 2017 -
Intermediary Opportunities in Asian OTC Derivatives
OTC Derivatives Summit 2016 panellists discuss the operational challenges of clearing services and infrastructure in Asia.
March 18, 2016
