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  • October 25, 2014
  • Last updated: 11:46pm
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  1. Business - Money - REGULATION

    Hong Kong securities watchdog to tighten rules on sale of risky products

    Posted Sep 26th 2014, 05:09am by Enoch Yiu

    ... Enoch Yiu enoch.yiu@scmp.com Financial firms need to conduct suitability tests on investors with portfolios of HK$8m or more SFC to tighten rules on sale of risky products The Securities and Futures Commission (SFC) will tighten regulations on the sale of complex and risky products by financial firms to so-called professional investors from March 2016 in a bid to enhance investor ...

  2. 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 ... was on the list of about 100 people targeted by the authorities after Sun Mingxia, former head of Guosen Securities' fixed-income business, came under investigation for illegal activities last ...

  3. Business - Banking & Finance - REGULATION

    World Bank urges Beijing to license collateral management firms

    Posted Oct 25th 2014, 04:54am by CHIM SAU-WAI

    ... and markets, also criticised the mainland's security interest registry system, which is split between the People's Bank of China and the State Administration for Industry and Commerce. ... with more advanced systems, there is only one unified registry for all security interests on all movable collateral," he said. "But in China this is taken care of by two governmental ...

  4. Business - Money - REGULATION

    Hong Kong, China MOU sorts out market misconduct rules before through train

    Posted Oct 22nd 2014, 01:06pm by Enoch Yiu

    ... but professionals warn it will not solve all regulatory problems. The Securities and Futures Commission and the China Securities Regulatory Commission last week signed a memorandum of understanding allowing ...

  5. Business - Economy - REGULATION

    Industry plea for tax easing may boost China property market

    Posted Oct 20th 2014, 11:29am by Sandy Li

    ... practitioners had submitted a proposal to central government authorities to shorten that period to two years to boost the market, according to sources quoted by the China Securities Journal on Monday. ...

  6. Property - Hong Kong & China - REGULATION

    Champion Reit eyes easing of MPF investment curbs on trusts

    Posted Oct 21st 2014, 01:00pm by Yvonne Liu

    ... by the Securities and Futures Commission to allow the trusts to invest 10 per cent of their local assets in "design and build" properties. Previously, reits had been excluded from property ...

  7. Business - Money - REGULATION

    China's securities regulator tightens delisting rules for poor performers

    Posted Jul 05th 2014, 01:51am by Reuters

    ... to delist, in its latest move to improve stock market conditions. The China Securities Regulatory Commission published the draft rules yesterday and is seeking public feedback. It is not clear when ... aspects," said Qian Qimin, the head of research at Shanghai Shenyin and Wanguo Securities. "However, past experiences have shown that in China, it is more important to force the implementation ...

  8. Business - Banking & Finance - REGULATION

    Tiger Asia and executives punished for market misconduct

    Posted Oct 10th 2014, 06:10am by DON WEINLAND

    ... executives, Bill Hwang Sung-kook and Raymond Park, engaged in market misconduct and banned the company and Hwang from securities trading in the city for four years. Hwang, the founder of New ... 1,800 investors. In a statement announcing the tribunal's ruling, the Securities and Futures Commission said: "This heralds a sterner approach in respect of protective measures ...

  9. Business - Banking & Finance - REGULATION

    China tightens rules for bond sales by local governments

    Posted Oct 17th 2014, 05:07am by Bloomberg, Daniel Ren

    ... by the commission were LGFV bonds, said Ping An Securities. "The [commission] is probably trying to curb LGFV bond sales before the new rules banning them take effect," said Shi Lei, head ...

  10. Business - Banking & Finance - REGULATION

    Basel III more meaningful at home than globally for Chinese banks

    Posted Oct 13th 2014, 04:13am by DON WEINLAND

    ... (HK$392.3 billion). More banks, and other state firms, are expected to enter the market with the hybrid securities that were introduced by mainland regulators in April. For the banks, the goal ...




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