All posts tagged "Julia Leung"
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296Hong KongSFC Offers Brokers, Fund Managers Guidance on Risk Governance
Senior management, including the board, responsible officers and MICs will be held accountable for the overall risk management control of their firms.
January 21, 2020 -
191ChinaHong Kong, China Resume Discussions on ETF Connect
SFC deputy chief executive Julia Leung has indicated that discussions with the CSRC have resumed to address the technical challenges of implementing an ETF Connect.
January 15, 2020 -
456Capital RegulationSFC Offers Additional Guidance on New Margin Financing Rules
New FAQs make clear that deviations from the new rules after 4 October will not automatically be seen as noncompliance or result in disciplinary action.
October 2, 2019 -
324Capital Regulation
SFC to Push Ahead with New Cap on Margin Financing
From 4 October, margin loans will be capped at five times capital, despite appeals from brokerage firms to postpone the new rules by one year.
September 30, 2019 -
745Enforcement
Complex Group Arrangements Compound Margin Financing Risks: SFC
Deputy chief Julia Leung says the SFC is concerned that brokers are using complex trading arrangements to circumvent regulatory oversight, among other supervisory priorities.
June 19, 2019 -
1.3KEnforcementSFC to ‘Vigorously Pursue’ Individuals Culpable for Misconduct
The SFC will do “whatever it takes” to tackle capital markets misconduct, said deputy chief executive Julia Leung at the 2018 Refinitiv Pan Asian Regulatory Summit.
October 10, 2018
