All posts tagged "investment products"
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252EuropeFuture Uncertain for UK SDRs After Omission
Details on the SDRs were omitted from a new financial services bill outlined during the Queen’s Speech last week.
May 16, 2022 -
419Australia & NZASX to Align Rulebooks for Investment Products
Having three different rulebooks for investment products opens the door to inconsistent treatment, rule arbitrage, and confusion for issuers and investors.
April 29, 2022 -
402EnforcementSFC Bans BNP Representative for Unauthorised Discretionary Trading
The relationship manager asked clients to pre-sign blank instruction forms so he could place trades for their accounts without having to inform them in advance.
March 30, 2022 -
617FeatureSFC, HKMA Launch Joint Review of Investment Product Selling Practices
The review’s objectives are to assess intermediaries’ compliance with requirements to perform product due diligence, conduct suitability assessments and provide information to clients.
March 2, 2022 -
818Australia & NZAustralian Court Fines Mayfair Companies for Misleading Advertising
Four Mayfair companies were fined a combined A$30mn for “deliberately" misleading investors into buying highly speculative and risky investment products.
December 24, 2021 -
277AML / KYCMAS Proposes to Ease Retail Investor Access to Funds
Under the changes, only a small group of more complex CIS would continue to be considered complex products and subject to additional disclosure requirements.
November 4, 2021 -
504Asia-PacificSEC Thailand Targets 2021 Launch for New SME Board
Only investors with experience and knowledge of investment products and a high level of assets can invest in primary and secondary markets for SMEs.
September 17, 2021 -
239ChinaBlackRock Wins Approval to Launch China Fund Business
BlackRock is the first foreign asset manager to win approval to launch a wholly-owned mutual fund business in China.
June 12, 2021 -
291KoreaFSC Korea Issues Guidance on Investment Suitability Tests
The guidance sets out how investor suitability and appropriateness tests should be carried out during the sales process.
June 4, 2021 -
651ChinaCBIRC Fines Shanghai Pudong Development Bank For Mis-selling
The fine comes two weeks after the CBIRC accused the bank of failing to fully disclose the risks of a private placement investment product to investors.
May 5, 2021
