The Securities and Futures Commission is proposing new rules to stamp out “undesirable” conduct by brokers in stock and debt offerings in the city. Photo: Sam Tsang
The Securities and Futures Commission is proposing new rules to stamp out “undesirable” conduct by brokers in stock and debt offerings in the city. Photo: Sam Tsang

SFC seeks to tighten rules for broker conduct in IPOs, debt offerings

  • Regulator seeks to stamp out ‘undesirable’ conduct by brokers as city attracts massive capital inflows from high-profile deals
  • Poor conduct included overstating demand, inflating order books in offerings

The Securities and Futures Commission is proposing new rules to stamp out “undesirable” conduct by brokers in stock and debt offerings in the city. Photo: Sam Tsang
The Securities and Futures Commission is proposing new rules to stamp out “undesirable” conduct by brokers in stock and debt offerings in the city. Photo: Sam Tsang
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