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SFC-HKMA Jointly Introduce Mystery Shopping Programme to Monitor Selling Practices

The Securities and Futures Commission and the Hong Kong Monetary Authority jointly engaged an external service provider, the Hong Kong Productivity Council, to carry out mystery shopping exercises between July and November 2010 to look into the selling practices of intermediaries involving unlisted
Originally Published: 
Monday, May 2, 2011

The Independent Commission on Banking: Interim Findings and Comment

Walker, George. The Independent Commission on Banking: Interim Findings and Comment. Law and Financial Markets Review, Vol. 5, No. 3, May 2011: 213-223. Availability: <http://search.informit.com.au/documentSummary;dn=090700599508804;res=IELBUS>
Originally Published: 
Sunday, May 1, 2011

Regulatory Systemic Risk in US Securities Regulation

Pichhadze, Aviv. Regulatory Systemic Risk in US Securities Regulation. Law and Financial Markets Review, Vol. 5, No. 3, May 2011: 176-182. Availability: <http://search.informit.com.au/documentSummary;dn=089880748773443;res=IELBUS>
Originally Published: 
Sunday, May 1, 2011

Future of Financial Advice - Information Pack 2

The Government has released two information packs providing detailed information on the reforms. This second information pack relates to the announcement made in April 2011 on consultation outcomes and implementation details of key reforms.
Originally Published: 
Thursday, April 28, 2011

SEC Proposes Product Definitions for Swaps

As required by the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, the Securities and Exchange Commission and Commodity Futures Trading Commission have jointly proposed rules further defining the terms “swap,” “security-based swap,” and “security-based swap agreement.”
Originally Published: 
Wednesday, April 27, 2011

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