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  1. ILAS are not 'investments', so commissions are unregulated

    Posted Apr 16th 2012, 12:00am

    ... Commission (SFC). The job falls to the Insurance Authority, which monitors the insurance sector in partnership with industry bodies. It's kind of a self-regulating system. The SFC requires agents to disclose all income earned from the sale of an investment, such as brokerage charges or selling commissions. In other words, if an investor asks an adviser about the commission (direct ...

    http://www.scmp.com/article/998294/ilas-are-not-investments-so-commissions-are-unregulated
  2. Crackdown on due diligence overdue

    Posted Apr 25th 2012, 12:00am

    ... The securities watchdog has sent a clear message of intent to stamp out shoddy work by listing sponsors. The HK$42 million fine the Securities and Futures Commission levied Monday on the sponsor of Hontex International was a record, and withdrawal of its corporate advisory licence a first. The Fujian-based sports fabric maker was suspended after just 64 days' trading ...

    http://www.scmp.com/article/999176/crackdown-due-diligence-overdue
  3. Beijing to boost market with trading fee cut

    Posted Aug 03rd 2012, 12:00am

    ... Commission (CSRC) said on its website that a 20 per cent reduction in brokerage trading fees would take effect from September 1. The move to lower costs 'reflects the regulator's ... analysts believe the CSRC will force brokerages to pass on the savings by cutting the commissions they charge individual investors. Beijing slashed the fees paid to the exchanges and clearing ...

    http://www.scmp.com/article/1008447/beijing-boost-market-trading-fee-cut
  4. No halt to IPOs, says securities regulator

    Posted Jul 16th 2012, 12:00am

    ... the China Securities Regulatory Commission (CSRC) said in a statement on its website on Saturday. The statement added that past experience had shown that interfering in the supply of new shares ... on July 9 on fears that a big new supply of shares would further drain market liquidity. In its response to the calls, the commission said the existing system, reformed since 2009, had worked ...

    http://www.scmp.com/article/1006938/no-halt-ipos-says-securities-regulator
  5. More scrutiny for brokers and funds

    Posted Jun 25th 2012, 12:00am

    ... Enoch Yiu enoch.yiu@scmp.com The Securities and Futures Commission has intensified surveillance of brokerages and hedge funds to avert any collapses brought on by global financial market turmoil, its chairman says. 'The SFC has increased the frequency of its on-site examinations of brokerage firms and fund houses to check their financial positions and internal controls,' ...

    http://www.scmp.com/article/1004940/more-scrutiny-brokers-and-funds
  6. Hontex told to pay back HK$1b to investors

    Posted Jun 21st 2012, 12:00am

    ... sports fabric maker Hontex International Holdings used misleading information in its listing prospectus in 2009. It is the first time the Securities and Futures Commission has used section 213 ... will abstain from voting. The court order followed more than a year of legal tussling between the SFC and Hontex. The arguments centred on whether the commission could seek a court order for Hontex ...

    http://www.scmp.com/article/1004468/hontex-told-pay-back-hk1b-investors
  7. Prospectus listing plan under fire

    Posted Jun 04th 2012, 12:00am

    ... Enoch Yiu enoch.yiu@scmp.com A Securities and Futures Commission's proposal that would require listing sponsors to post the first draft of a company prospectus on the internet has drawn criticism. The proposal is among a range of measures suggested in an SFC consultation paper released last month to tighten regulation of sponsors in order to enhance the quality of new ...

    http://www.scmp.com/article/1002972/prospectus-listing-plan-under-fire
  8. Wise heads reap benefits of doing their research

    Posted May 07th 2012, 12:00am

    ... Retail investors often rush to buy stocks or invest in financial instruments without proper research. Strategists say it is imperative that retail investors know about the products or stocks they are buying. Research by a regional bank proves this point. ...

    http://www.scmp.com/article/1000303/wise-heads-reap-benefits-doing-their-research
  9. Investor scheme may be expanded

    Posted Mar 27th 2012, 12:00am

    ... as saying that a plan to expand QFII quota was under review. Yao Gang, a vice-chairman of the China Securities Regulatory Commission (CSRC), told the Beijing-based newspaper that 80 per cent ...

    http://www.scmp.com/article/996722/investor-scheme-may-be-expanded
  10. Move to rouse markets out of their slumber

    Posted Feb 22nd 2012, 12:00am

    ... Daniel Ren in Shanghai ren.wei@scmp.com In the latest sign that the mainland's securities regulator is trying to breathe life into a dozing equity market, Beijing has allowed major shareholders, most of whom are state-controlled, to increase holdings in their listed firms without having to secure an approval. The China Securities Regulatory Commission (CSRC) has published a new ...

    http://www.scmp.com/article/993371/move-rouse-markets-out-their-slumber

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