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
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

Topic |   Banking & Finance
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
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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