All posts tagged "professional investors"
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146FeatureHong 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 -
189Hong 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 -
306Hong KongHKEX Issues Consultation on Listing Regime for SPACs
A SPAC has to raise at least HKD 1 billion from its initial offering. Subscription and trading will be restricted to professional investors.
September 17, 2021 -
264Hong KongHong Kong SPAC Framework to Prohibit Retail Access – Report
Hong Kong's SPAC framework will reportedly be issued for public consultation this month, proposing that only professional investors be allowed to participate.
September 13, 2021 -
792Asia-PacificThailand’s Proposed SME Board Falls Short of Market Needs
The SEC's proposed SME board is unlikely to facilitate access to capital for startups that are most in need of funding, says Pongnut Thanaboonchai.
August 9, 2021 -
392EnforcementHong Kong SFC Fines UBS Over Regulatory Breaches
The breaches involve research report disclosures, telephone recordings, client derivatives knowledge assessments, and structured product sales.
August 4, 2021 -
101KoreaKorea to Impose Additional Requirements for PE Funds
A new rule will also be introduced to allow for faster removal of fund managers that fail to meet the requirements.
June 27, 2021 -
162Australia & NZASIC Extends Transitional Relief for Foreign Financial Services Firms
ASIC is extending transitional relief provided under its new regulatory framework for foreign firms pending the outcome of the government’s announced reforms.
June 14, 2021 -
1.1KAML / KYCHong Kong to Bar Retail Investors from Crypto Trading
Hong Kong’s FSTB has issued consultation conclusions on the new licensing regime for VASPs and a new registration regime for precious metals dealers.
May 24, 2021 -
400Australia & NZAustralia’s Financial Sector Welcomes 2021‑22 Budget Initiatives
The measures include an FMI reform package, relief for foreign financial service firms, changes to the superannuation system, and a new commencement date for the CCIV regime.
May 13, 2021
