All posts tagged "margin financing"
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467EnforcementComplex 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 -
631Hong Kong
SFC Directs Prime Brokers on Regulatory Obligations
If prime services are carried out in Hong Kong, prime brokers are expected to comply with Hong Kong rules and regulations regardless of where the risk positions are booked.
June 11, 2019 -
466UncategorisedHKMA, SFC Find Opaque Financing Practices at Mainland Owned Banking Group
Coordinated inspections found that a licensed corporation owned by a subsidiary as well as a bank within a Mainland-based group had adopted “complex, opaque financing arrangements”.
April 25, 2019 -
362ChinaCSRC Bars Brokers from Facilitating ‘Shadow’ Margin Financing
The CSRC is prohibiting brokers from any business that could facilitate informal margin financing, which it has flagged as a potential source of risk.
March 14, 2019 -
533Hong KongHong Kong SFC Proposes New Rules For Securities Margin Financing
The regulator has launched a two-month consultation around stronger risk management standards to govern securities margin financing.
August 20, 2018 -
330Hong Kong
SFC Warns Against Disguised Margin Financing
Suspected margin financing arrangements involve unlicensed affiliates of licensed corporations or third parties who appear to be engaging in securities margin financing without an SFC licence in order to circumvent regulatory requirements.
August 6, 2018
