Hong Kong, Asia's leading financial centre
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 Warns Public On Unauthorised Collective Investment Schemes, Publishes Alert List 

3rd September 2021 | Hong Kong

The Hong Kong Securities and Futures Commission (SFC) has launched a new initiative to warn the public about unauthorised Collective Investment Schemes (CIS), including a public listing of Suspected Unauthorised CIS Alert List.  Hong Kong SFC warns that the authorised Collective Investment Schemes may include overseas real estate or non-conventional assets and investments such as digital tokens and initial coin offerings (ICO).  The Hong Kong SFC Suspected Unauthorised CIS Alert List has 3 entities listed on 30th August 2021: @RLiS house Namba (Property in Osaka, Japan), The Element (Property in Manchester, UK) and LABS Security Token (Digital Token).  View: Hong Kong SFC Suspected Unauthorised CIS Alert List

” Hong Kong SFC Warns Public On Unauthorised Collective Investment Schemes, Publishes Alert List “

 

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

Collective Investment Schemes (CIS) are Regulated Financial Activities

Hong Kong 2
Hong Kong, Asia’s leading financial centre

In most countries and in Hong Kong, Collective Investment Schemes (CIS) are regulated financial activities that gathers money from the public for investments, and may be an offence to market or distribute interests without a licence or registration. 

Christina Choi, the SFC’s Executive Director of Investment Products:

“Unauthorised investment arrangements are highly risky and investors may lose all their investments.  Investors are urged to check the new alert list and find out whether the arrangement is authorised by the SFC before investing.”

 

Notes:

  • The alert list is not exhaustive.  A searchable list of investment products authorised by the SFC for public offering, including all SFC-authorised CIS, is available on the SFC’s website.
  • For information on CIS, investments in overseas properties, ICO and digital tokens, please follow the links.
  • The Suspected Unauthorised CIS Alert List provides an early warning to investors but it is not a substitute for investors’ own due diligence. If in doubt, investors should seek professional advice.
  • The fact that an arrangement does not appear on the list should not be taken as an indication that it is, or is not, an SFC-authorised CIS or otherwise safe for investment. A searchable list of investment products authorised by the SFC for public offering, including all authorised CIS, is available on the SFC’s website.
  • If you have been solicited to participate in any suspicious CIS investment arrangement, you may inform the SFC by completing our online complaint form.
  • If you have any questions about the list, please send your enquiry to unauthCIS_alert@sfc.hk.

 

Related:

Fines:

More:

 


About Securities and Futures Commission (HK)Hong Kong Securities Futures Commission Logo

The Securities and Futures Commission (SFC) is an independent statutory body set up in 1989 to regulate Hong Kong’s securities and futures markets.

We derive our investigative, remedial and disciplinary powers from the Securities and Futures Ordinance (SFO) and subsidiary legislation. Operationally independent of the Government of the Hong Kong Special Administrative Region, we are funded mainly by transaction levies and licensing fees.

Visit: Hong Kong Securities and Futures Commission



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 articleInterview with Kevin Foo, Head of HNW Insurance at Noah Singapore
    Next articleHong Kong SFC Suspends Former Emperor Securities Licensed Representative for 2 Years for Misconduct
    Caproasia.com covering capital markets, investments and private wealth in Asia. Our users manage, advise & invest $25 trillion assets in Asia