News in Brief - Caproasia Online
Caproasia.com | The leading source of data, research, information & resource for investment managers, professional investors, UHNW & HNW investors, and advisors to institutions, billionaires, UHNWs & HNWs. Covering capital markets, investments and private wealth in Asia. How do you invest $3 million to $300 million? How do you manage $20 million to $3 billion of assets? Caproasia - Learn more

Media, Events, Networking, Roundtable, Membership - Contact Us

This site is for accredited investors, professional investors, investment managers and financial professionals only. You should have assets around $3 million to $300 million or managing $20 million to $3 billion.







Hong Kong SFC Provides Guidance on Use of Instant Messaging to Receive Orders from Clients

Hong Kong’s Securities and Futures Commission (SFC) has issued a circular to intermediaries to provide guidance on the use of instant messaging applications to receive orders from clients.

” Hong Kong SFC Provides Guidance on Use of Instant Messaging to Receive Orders from Clients “

The circular encourages firms to take adequate measures to ensure compliance with the requirements, which include keeping proper records of messages relating to client orders and ensuring they are accessible for monitoring and audit purposes, validating client identities and maintaining adequate safeguards to prevent unauthorised account access and cybersecurity attacks.  Intermediaries are required to keep the records for more than two years.

Clients should be made aware of the security risks of using instant messaging applications. Firms should also inform clients about their contingency plans to cope with disruptions affecting instant messaging services.

Web links may be disabled on mobile for security.
Please click on desktop.


Do you manage $20 million to $30 billion?
Advise institutions, billionaires, UHNWs & HNWs?

Subscribe Caproasia
Delivered to your Inbox
Get Ahead in 60 Seconds. Organised for Success.
Join 10,000 + leading financial professionals, investment managers,
professional investors & advisors.
Links: Learn More | UHNW & HNW | Subscribe | Start Today

Scroll Below for Sign Up / Contact Us Form

2021 Data Release
2020 List of Private Banks in Hong Kong
2020 List of Private Banks in Singapore
2020 Top 10 Largest Family Office
2020 Top 10 Largest Multi-Family Offices
2020 Report: Hong Kong Private Banks & Asset Mgmt - $4.49 Trillion
2020 Report: Singapore Asset Mgmt - $3.48 Trillion AUM

SFC may take regulatory action against firms which receive orders through instant messaging applications without taking sufficient measures to ensure compliance with the regulatory requirements.

Julia Leung, SFC’s Deputy Chief Executive Officer and Executive Director of Intermediaries:

“Brokers should put in place adequate measures to ensure the security and reliability of instant messaging applications used for receiving client orders.  Investors should fully understand that using instant messaging to place orders exposes them to potential risks such as phishing, account theft and impersonation.”

Source: SFC



Scroll Below for Sign Up / Contact Us Form

Web links may be disabled on mobile for security.
Please click on desktop.









Caproasia.com | The leading financial website for investment managers, professional investors, UHNW & HNW investors and advisors to institutions, billionaires, UHNWs & HNWs.  Covering capital markets, investments and private wealth in Asia. How do you invest $3 million to $300 million? How do you manage $20 million to $3 billion of assets?

Caproasia is a financial information technology co. founded in 2014. We have 4 businesses in Media, Information, Services and Technology. We created 3 solutions: Membership, Events & Platforms to drive investment decisions in Asia through information, services, technology & people, that impact economies, societies & people. Our Mission: Driving the future of Asia

For 2022 Investment Day: mail@caproasia.com
For Family Office, Professional Investor, HNW Investor Events: mail@caproasia.com
For Membership, Events, Networking, Roundtable, Summits: mail@caproasia.com
For Investment Relations Network: mail@caproasia.com
For Platforms, Media Kit, Advertising, Campaigns, Partnerships: angel@caproasia.com
For press release: press@caproasia.com
For all other enquiries: mail@caproasia.com


Sign Up / Contact Us

Caproasia | Get Ahead in 60 Seconds. Join 10,000 +


    General EnquiryFeedbackOthers


    Mailing List (Free)Subscribe $380 YearlySubscribe $40 MonthlyAssociate Member $380Professional Member $680Executive Member $2,000Corporate Member


    Private WealthFamily OfficePrivate BankingWealth ManagementInvestmentsAlternativesPrivate MarketsCapital MarketsESG & SICEO & EntrepreneursTax, Legal & RisksHNW & UHNWs Insights


    List Product / ServiceCaproasia.comE-NewsletterEventsCorporate MemberSponsorshipAdvertisingMedia KitMarketing ServiceMedia ServiceNewswire ServiceResearch & DataBusiness Consulting









    Caproasia | Driving the future of Asia
    a financial information technology co.
    since 2014



    Caproasia Users
    • Manage $20 million to $3 billion of assets
    • Invest $3 million to $300 million
    • Advise institutions, billionaires, UHNWs & HNWs
    • Learn More | Caproasia Users
    Caproasia Platforms | Join 10,000 Investors & Advisors Monthly Networking & Roundtables: Membership | Join a Powerful Network: Family Office Programs: Caproasia Summits: Special Coverage


    Previous articleCharismatic Capital Launches New $250 Million Debt Equity Fund
    Next articleCredit Suisse Hires David Lim as Vice Chairman of Private Banking for Southeast Asia
    Caproasia.com covering capital markets, investments and private wealth in Asia. Our users manage, advise & invest $25 trillion assets in Asia