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SFC-HKMA Jointly Introduce Mystery Shopping Programme to Monitor Selling Practices

The Securities and Futures Commission and the Hong Kong Monetary Authority jointly engaged an external service provider, the Hong Kong Productivity Council, to carry out mystery shopping exercises between July and November 2010 to look into the selling practices of intermediaries involving unlisted
Originally Published: 
Monday, May 2, 2011

SEC Releases Study on Enhancing Investment Adviser Examinations

Section 914 of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 mandates that the Securities and Exchange Commission conduct a study to review and analyze the need for enhanced examination and enforcement resources for investment advisers.
Originally Published: 
Wednesday, January 19, 2011

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