Hong Kong SFC Fines UBS Securities Asia $570,000 for Failure to Record Client Transactions
Hong Kong SFC Fines UBS Securities Asia $570,000 for Failure to Record Client Transactions
Hong Kong’s Securities and Futures Commission (SFC) has reprimanded and fined...
Vistra Acquires Indonesian Based Corporate Service Provider Global Expandia
Vistra Acquires Indonesian Based Corporate Service Provider Global Expandia
Vistra, a leading corporate service providers of incorporations, trust and fund administration services has acquired Global...
Hong Kong SFC Fines CLSA $1.15 Million over Internal Control Failures
Hong Kong SFC Fines CLSA $1.15 Million over Internal Control Failures
The Securities and Futures Commission (SFC) has reprimanded and fined CLSA Limited (CLSA) $1.15...
Old Mutual Awards Management of $74 Million China Equity Fund to Ping An
Old Mutual Awards Management of $74 Million China Equity Fund to Ping An
Old Mutual Global Investors (OMGI) has awarded management of its $74 million...
Monetary Authority of Singapore Proposed Financial Advisory Recruitment Measures, Targeting Sign-on Incentives & Mass...
Monetary Authority of Singapore Proposed Financial Advisory Recruitment Measures, Targeting Sign-on Incentives & Mass Movements
The Monetary Authority of Singapore (MAS) has proposed 4 measures...
Natixis Asset Management Renames as Ostrum Asset Management
Natixis Asset Management Renames as Ostrum Asset Management
Natixis Asset Management, an affiliate of Natixis Investment Managers, will be renamed as Ostrum Asset Management from...
St James’s Place Wealth Management Asia Appoints Enzio Von Pfeil as Partner
St James’s Place Wealth Management Asia Appoints Enzio Von Pfeil as Partner
St. James’s Place Wealth Management Asia has appointed Enzio Von Pfeil as Partner...
Hong Kong SFC Criticises Nomura International for Breaches of Takeovers Code
Hong Kong SFC Criticises Nomura International for Breaches of Takeovers Code
Hong Kong’s Securities and Futures Commission (SFC) has criticised Nomura Hong Kong and Annisa...
Hong Kong SFC Appoints Julia Leung as Deputy CEO
Hong Kong SFC Appoints Julia Leung as Deputy CEO
The Securities and Futures Commission (SFC) has appointed Julia Leung as Deputy Chief Executive Officer and reappointed Julia Leung as...
Hong Kong SFC Sets Enforcement Priorities for 2018
Hong Kong SFC Sets Enforcement Priorities for 2018
The Securities and Futures Commission (SFC) have set out its enforcement priorities for 2018. At the top...
