Tag: asset managers
Showing 3 out of 3 results
21 February 2023
FCA publishes new Discussion Paper on updating and improving the UK regulatory regime for asset management
28 November 2019
SFC sets out standards expected of asset managers in considering private fund and discretionary account arrangements and transactions
On 21 November 2019, the Securities and Futures Commission (SFC) published a circular to licensed corporations regarding dubious private fund and …
07 August 2017
Asset managers and their senior management (including MICs) warned of action for regulatory non-compliance in Hong Kong
Boards and senior management (including Managers-in-Charge of Core Functions (MICs)) of asset managers have been called on by the Hong Kong Securities …