Tag: professional investors

FCA
March 11, 2024 BY Simon Mugo

UK’s FCA Issues an Update About Its Stand on Crypto Asset Notes

RIEs are expected to maintain rigorous controls to ensure that trading remains orderly and that professional investors are adequately protected. cETNs must adhere to the comprehensive requirements set by the UK Listing Regime, including those related to prospectuses and continuous disclosure obligations. The FCA notes that with the accumulation of more data and a longer…

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May 18, 2018 BY Valentina Kirilova

SFC concludes consultation on prescribing professional investors

The Hong Kong Securities and Futures Commission (SFC) today released consultation conclusions on proposed amendments to the Securities and Futures (Professional Investor) Rules (PI Rules) to standardise the rules for prescribing professional investors. The amendments allow portfolios held in joint accounts with non-associates and in investment corporations wholly-owned by an individual to count towards meeting…

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