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  • October 1, 2014
  • Last updated: 3:57am
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Results 1 - 10 of 182 for risk management

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  1. Business - Money - REGULATION

    Brokers and fund managers back special listing boards

    Posted Jun 23rd 2014, 03:08am by Enoch Yiu

    ... Enoch Yiu enoch.yiu@scmp.com Brokers and fund managers support proposal that may allow firms with unique structures to float but also raise concern over investor protection Market backing for special listing boards Brokers and fund managers generally support a proposal by a top government advisory body to introduce new listing boards to cater to different companies and investors, ...

  2. Business - Banking & Finance - REGULATION

    Brokers fear burden of new investor rules

    Posted May 23rd 2013, 12:00am by Enoch Yiu

    ... Enoch Yiu enoch.yiu@scmp.com Making 'professional investors' answer queries on risk will add to workload and costs, they say Brokers fear burden of new investor rules ... which will require brokers and banks to ask a range of questions to assess an investor's risk appetite so as to match their risk profile to the products it sells, currently apply ...

  3. Business - Banking & Finance - REGULATION

    SFC reforms aim to boost safeguards for investors

    Posted May 16th 2013, 12:00am by Enoch Yiu

    ... Enoch Yiu enoch.yiu@scmp.com Responding to concerns over the marketing of complex products, SFC proposes tests to check that professional traders understand risks Reforms aim to boost safeguards for investors The Securities and Futures Commission has released a long-awaited reform plan to tighten regulations on how financial firms sell complex risky investment products ...

  4. Business - Money - REGULATION

    Fund managers’ lobbying on regulation backfires

    Posted Aug 21st 2014, 10:06am by Reuters

    ... Reuters in London Fund managers may face tougher scrutiny by global regulators after their intense lobbying against an initial proposal backfired, industry sources and G20 officials said. ... as FSB (the Financial Stability Board) is coming back with an even more radical proposal,” a European asset management industry source said. The industry fears it may have shot itself in the foot ...

  5. Business - Money - REGULATION

    Mainland regulators cap end-month bank deposits to limit window-dressing

    Posted Sep 15th 2014, 09:53am by Reuters

    ... and the finance ministry. It also banned banks from using interest rates exceeding regulatory limits to attract deposits or using wealth management products to indirectly boost their savings as the end ... said. The new policy “is aimed at improving the appraisal mechanisms for banks, and at effectively preventing and controlling risk,” the regulators said in the notice, posted at the weekend. ...

  6. Business - China Business - REGULATION

    China uncovers US$10b in fake trades

    Posted Sep 26th 2014, 05:09am by Kwong Man-ki

    ... he said. The foreign exchange regulator did not see a surge in capital outflows, said Guo Song, the head of the capital account management department at the SAFE. Data from the People's ... of the SAFE's current account management department. ...

  7. Business - Banking & Finance - REGULATION

    Chief of Galaxy Securities unit questioned in illegal bond probe

    Posted Sep 22nd 2014, 10:20am by Daniel Ren

    ... Securities' fixed-income division adding to the unsavoury reputation of the mainland's debt market. Dai Xu, the top manager of Galaxy's fixed-income businesses, and two employees in his ... agency. "The government appears to be fully aware of the deep-rooted problems in the fast-growing bond market," said Gu Weiyong, chief investment manager of Shanghai Ucon Investment ...

  8. Business - Banking & Finance - REGULATION

    Japanese regulators scrutinise risk to banks of future interest rate rise

    Posted Aug 11th 2014, 03:56am by Reuters

    ... Reuters in Tokyo Authorities scrutinise risk of rate rise in Japan Japanese financial authorities are joining forces to scrutinise for the first time banks' exposure to a potential spike in interest rates, with a focus on the risks to regional lenders when the central bank eventually ends its massive easing. Japan's 105 regional lenders hold 40.8 trillion yen (HK$3.09 ...

  9. Business - Banking & Finance - REGULATION

    Mainland regulator CSRC ousts one of its own for insider trading

    Posted Sep 20th 2014, 05:10am by Daniel Ren

    ... of information. Since Xiao Gang, a former Bank of China chairman, took the helm of the CSRC in March last year, the regulator has shown "zero tolerance" towards unethical fund managers ... potential" could list would be scrapped, it said. The decision could fast-track IPO approvals for six securities firms hungry for fresh capital to bolster their businesses in asset management, margin ...

  10. Business - Banking & Finance - REGULATION

    Anti-money laundering crackdown to shift onus to China banks

    Posted Sep 15th 2014, 04:40am by DON WEINLAND

    ... or terrorism-funding risk of each customer on a scale of one to 100. The regulator has given some guidance on how to score customers using this scale, but the bulk of the rating will be left to the banks ... However, these banks have little knowledge of anti-money laundering rules abroad, Thomas said: "They're running a big risk if they don't understand the regulations in other ...




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