Carmen Guo

Carmen Guo

Latham & Watkins LLP

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Hong Kong Regulators Remind Intermediaries of Selling Practice Requirements for Complex Bonds and High-Yield Bonds

Intermediaries need to review and enhance their policies and procedures to address any issues relevant to their institutions. On 25 March 2014, the Securities and Futures Commission (SFC) issued a circular (Circular) to...more

4/3/2014 - Bonds Hong Kong

Hong Kong Banks Pledge to Treat Customers Fairly

Public pressure over vulnerable populations spurs banks to act - On 28 October 2013, 22 retail banks in Hong Kong launched the Treat Customers Fairly Charter (Charter) to enhance customer protection and education in...more

10/31/2013 - Banking Sector Banks Disclosure Requirements Hong Kong Retail Market

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