Client Money Protection: Impact of Broker Default on IPO Subscription Funds
The collapse of a licensed broker handling pooled IPO subscription funds is the single most conseque…
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Client Money Protection: Impact of Broker Default on IPO Subscription Funds
The collapse of a licensed broker handling pooled IPO subscription funds is the single most consequential operational risk that Hong Kong’s primary eq…
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Deep Dives
Financial Dispute Resolution Centre: Mediation for Investor-Broker IPO Disputes
The Financial Dispute Resolution Centre (FDRC) handled a record 1,246 new cases in 2024, a 29.5% inc…
Margin Financing Risk Disclosure: Broker Margin Call Policies for IPO Subscriptions
The Hong Kong Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) is…
Investor Compensation Fund: Protection Scope for Failed IPO Subscriptions
The collapse of a high-profile Hong Kong IPO in late 2025, where the sponsor returned approximately …
Securities Dealer Operational Requirements: Segregation of Client IPO Subscription Funds
The SFC’s latest thematic review of licensed corporations’ handling of client assets, published in Q…
SFC Dual Filing Regime: Regulatory Review Powers Over IPO Prospectuses
The SFC’s dual filing regime under the Securities and Futures Ordinance (Cap. 571) is not a new conc…
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