Tag: Options
Hong Kong SFC Fines Swiss-Asia Asset Mgmt $382,000 for 225 Risky...
Hong Kong SFC Fines Swiss-Asia Asset Mgmt $382,000 for 225 Risky Options Trade over 15 Months, Breached Client Discretionary Account Trade Parameters for Options
8th...
Hong Kong SFC Review: Increased Popularity in Online Investment Services, Equities...
Hong Kong SFC Review: Increased Popularity in Online Investment Services, Equities in Hong Kong, United States & Mainland China, Products include ETFs, Equities, Futures,...
UBS Pays Former Compliance Officer $14.1 Million after 4 Years of...
UBS Pays Former Compliance Officer $14.1 Million after 4 Years of Lawsuit, Fired for Junior Broker Naked Options $3.7 Million Trading Loss
22nd April 2022...
Top Hedge Fund Renaissance Technologies Facing $7 Billion Tax Settlement for...
Top Hedge Fund Renaissance Technologies Facing $7 Billion Tax Settlement for Trading Profits
3rd September 2021 | Hong Kong
Top hedge fund Renaissance Technologies managing more...
Deutsche Private Bank Launches 4 Funds with Regular Income Using ETFs, AUM at...
Deutsche Private Bank Launches 4 Funds with Regular Income Using ETFs, AUM at $4.1 Billion
25th June 2021 | Singapore
Deutsche Bank International Private Bank (IPB) with more...
Hong Kong Exchange to Launch New Hang Seng TECH Index Futures &...
Hong Kong Exchange to Launch New Hang Seng TECH Index Futures & Options
9th November 2020 | Hong Kong
Hong Kong Exchanges and Clearing (HKEX) will be...
Interactive Brokers Group Opens Singapore Office to Serve Traders, Wealth Managers,...
Interactive Brokers Group Opens Singapore Office to Serve Traders, Wealth Managers, Family Offices and Hedge Funds
10th July 2020 | Hong Kong
Interactive Brokers Group, one...
Hong Kong Futures Exchange to List 37 MSCI Asia-Pacific Futures &...
Hong Kong Futures Exchange to List 37 MSCI Asia-Pacific Futures & Options Contracts
Hong Kong | 29th May 2020
Hong Kong Futures Exchange has signed a...
Which Financial Products Are Portable?
Which Financial Products Are Portable?
As a Financial Advisor or Wealth Manager, one of your most important task is to look after your clients' assets.
This means you will...
When Should You Sell Products and Not Advice?
When Should You Sell Products and Not Advice?
Should you sell financial products and product-push? Or should you be selling advice?
" Sell Products or Sell Advice...
