All posts tagged "professional investors"
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371EnforcementSFC Proposes SFO Revisions to Improve Enforcement Tools
The amendments relate to SFO provisions on remedial orders, insider dealing, and advertising of investment products.
June 13, 2022 -
1.9KAML / KYCHong Kong is Moving to a Robust Regulatory Framework for Crypto
Etelka Bogardi and Amy Chung say Hong Kong's efforts to regulate the crypto sector and stablecoin market are on the whole in line with international trends while leaving room for further development.
April 20, 2022 -
578TaiwanTaiwan FSC Directs FIs to Protect Elderly Consumers
FIs have been selling unsuitable products to elderly customers without conducting a proper risk assessment and sometimes categorising them as professional investors.
April 8, 2022 -
595Crypto / Digital AssetsHuobi Seeks to Launch Retail Crypto ETF in HK
Huobi Tech has structured the ETF so that it won't be restricted to just professional investors, possibly through the use of crypto futures listed on overseas exchanges.
March 30, 2022 -
1.2KAML / KYCThe SFC Approach to Virtual Assets Prioritises Investor Protection
Since 2018, the steps taken by the SFC to regulate the virtual asset space have prioritised investor protection, first and foremost.
March 1, 2022 -
781FeatureHK SPAC Regime Threatened by Lack of D&O Insurance – Report
Few insurers in Hong Kong provide liability insurance for directors and officers of SPACs. Those that do charge premiums up to five times higher than for traditional IPOs.
February 17, 2022 -
2.8KAML / KYCCrypto Prepares for a Regulated Future
As crypto goes mainstream, regulatory compliance will require robust and financial institution-grade AML and KYC processes, says David Liu.
February 7, 2022 -
624FeatureHKEX Finalises Framework for SPAC Listings in Hong Kong
The new framework takes effect on 1 January. A SPAC’s securities must be distributed to at least 20 institutional professional investors, down from 30 proposed during consultation.
December 20, 2021 -
266FeatureHong Kong FSDC Declares Support for Proposed SPAC Regime
The FSDC says requiring SPAC shares and warrants to be distributed to at least 75 professional investors could present an "unnecessarily high threshold".
November 3, 2021 -
328Hong KongSFC, HKMA Release Findings on Investment Product Sales
Firms sold investment products with an aggregate transaction amount of HKD 5.7 trillion during 2020, with the participation of over 700,000 investors.
October 8, 2021
