All posts tagged "OTC securities"
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392FeatureSFC Cites Conduct, Technology and Climate as Key Priorities
The SFC's latest annual report highlights work to enhance book building and placing practices, regulate fund trustees and custodians, and enhance climate disclosure for fund investors.
June 23, 2022 -
863AML / KYCSFC Proposes to Introduce HK Investor ID Regime in 2022
The proposed investor ID regime is expected to be implemented in Q1 of 2022 at the earliest. A separate reporting regime is proposed for OTC securities transactions.
December 7, 2020
