• Tue
  • Jul 29, 2014
  • Updated: 9:19pm

Risk Management

Brokers fear burden of new investor rules

The Securities and Futures Commission last week released a consultation paper to collect views over the next three months on a range of proposals to increase regulatory requirements covering the sale of complex and risky investment products to "professional" investors, who are defined as experienced investors with portfolios valued at more than HK$8 million.

Thursday, 23 May, 2013, 4:39am

SFC reforms aim to boost safeguards for investors

Under the proposals released yesterday for a three-month consultation, banks and brokers would be required to carry out suitability tests to assess if certain complex products are too risky for these clients.

16 May 2013 - 4:03am

'Help wanted' as London's banks tighten compliance

Job vacancies at financial services companies in London jumped 25 per cent in the first quarter of this year as firms bolstered their compliance and risk-management divisions in order to placate regulators, a new survey shows.

12 Apr 2013 - 6:13am

'Too big' ICBC announces slowdown in growth

ICBC, the world's largest bank by market value and assets, plans to slow down asset expansion this year and tolerate a higher bad-loan ratio, underscoring the pressure from stricter capital rules and the anticipation of an economic slowdown.

28 Mar 2013 - 5:52am

Cyprus bailout prompts fund managers to cut equity exposure

Renewed market jitters after the decision to rescue Cyprus have prompted some of the world's top fund houses to cut their risk profile to minimise losses in volatile global equity markets.

28 Mar 2013 - 5:25am

Scandals set off watchdog warnings

Shanghai's banking regulator has told lenders to set up telephone hotlines for complaints about staff misconduct in selling wealth management products.

The move is seen as a gesture towards protecting consumer rights after a slew of irregularities in the banking sector.

25 Jan 2013 - 4:56am

Hong Kong deserves role in nuclear reactor risk management, experts say

Hong Kong should be more involved in the safety and risk management of the nuclear reactors in its vicinity, a group of nuclear specialists has urged.

9 Jan 2013 - 5:17am 1 comment

Directors beware as regulator seeks to stem misconduct

Isn't corporate governance just legal mumbo-jumbo?

"Corporate governance" can sound remote from reality - consultancy-speak that is designed to confuse and frustrate.

9 Jan 2013 - 4:08am

China's central bank to focus on controlling risks in financial system

The central bank says it will focus on controlling risks in the financial system and seek "stable and appropriate" growth in aggregate financing - a measure of funding that includes loans, stock and bond sales.

30 Dec 2012 - 5:24am

Stock Watch: life insurance

Many of us have bought life insurance, but what about buying shares in life insurance companies?

The industry is a black hole to investors who struggle to see how such companies create value and make money.

3 Dec 2012 - 4:26am

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