Articles: Broker regulation

LCQ: regulation of dark pool trading
HK Government, 28-Nov-2012
SFC reminds licensed corporations to handle clients' enquiries
SFC, 23-Nov-2011
Tiffit's collapse
We look at the collapse of Tiffit Securities and what lessons the SFC can learn from it. In our view, they should have shut this firm down and banned its operator 3 years ago, after a second regulatory offence and a criminal prosecution. The owner and his firms were also in trouble in Australia in 2001 and 2002 (21-Jul-2006)
Trust, but Verify
Webb-site.com proposes a solution to reduce the recurrent problem of brokerage failures, while at the same time improving communications with shareholders and retail investor participation in corporate governance, bringing HK up to international standards. (21-Jul-2006)

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