A stockbroker is an individual or company that buys and sells stocks and other investments for a financial market participant in return for a commission,markup,or fee. In most countries they are regulated as a broker or broker-dealer and may need to hold a relevant license and may be a member of a stock exchange. They generally act as a financial advisor and investment manager. In this case they may also be licensed as a financial adviser such as a registered investment adviser.
The Chartered Financial Analyst (CFA) program is a postgraduate professional certification offered internationally by the US-based CFA Institute to investment and financial professionals. The program teaches a wide range of subjects relating to advanced investment analysis—including security analysis,statistics,probability theory,fixed income,derivatives,economics,financial analysis,corporate finance,alternative investments,portfolio management—and provides a generalist knowledge of other areas of finance.
Hong Kong Exchanges and Clearing Limited operates a range of equity,commodity,fixed income and currency markets through its wholly owned subsidiaries The Stock Exchange of Hong Kong Limited (SEHK),Hong Kong Futures Exchange Limited (HKFE) and London Metal Exchange (LME).
The Securities and Exchange Commission of Pakistan (SECP) is the financial regulatory agency in Pakistan whose objective is to develop a modern and efficient corporate sector and a capital market based on sound authority principles,in order to encourage investment and foster economic growth and prosperity in Pakistan.
David Michael Webb is an activist investor,share market analyst and retired investment banker based in Hong Kong.
Certified International Investment Analyst (CIIA) is a global finance designation offered by the Association of Certified International Investment Analysts (ACIIA) to financial professionals;candidates may be financial analysts,portfolio managers or investment advisors.
CITIC Securities Co.,Ltd. is a Chinese full-service investment bank. It offers services in underwriting,research,brokerage,asset management,wealth management,and investment advisory. CITIC Securities was established in 1995 and it is headquartered in Shenzhen,Guangdong Province.
Julia Leung Fung-yee,SBS is the Chief Executive Officer of the Securities and Futures Commission (SFC) of Hong Kong. She was formerly one of the undersecretaries appointed by the Government of Hong Kong in 2008.
Laura Cha Shih May-lung,GBM,GBS,JP is a Hong Kong businesswoman and politician. She is the Chairman of Hong Kong Stock Exchange and Non-Executive Deputy Chairman of The Hongkong and Shanghai Banking Corporation. She served as a non-official member of the Executive Council of Hong Kong from 2004 to 2022.
Hong Kong Mercantile Exchange was an electronic commodities exchange established in Hong Kong for the trading of commodity futures,options and other financial derivatives. The exchange was originally pitched as a platform to trade oil futures. In fact,it ended up trading mainly silver and gold futures.
The Financial Conduct Authority (FCA) is a financial regulatory body in the United Kingdom which operates independently of the UK Government and is financed by charging fees to members of the financial services industry. The FCA regulates financial firms providing services to consumers and maintains the integrity of the financial markets in the United Kingdom.
Martin Wheatley is a British financier,formerly managing director of the Consumer and Markets Business Unit of the Financial Services Authority in the UK,and is the former CEO of the Financial Conduct Authority.
Tan Sri Andrew Sheng is Hong Kong-based Malaysian banker,academic and commentator. He started his career as an accountant and is now a distinguished fellow of Fung Global Institute,a global think tank based in Hong Kong. He served as chairman of the Hong Kong Securities and Futures Commission (SFC) before his replacement by Martin Wheatley in 2005.
ADS Securities LLC is a private financial services firm headquartered in Abu Dhabi that offers online trading,investment,wealth management and asset management services for institutional,private and retail clients. It provides foreign investment markets analysis on CNBC,Bloomberg,and CNBC Arabiya.
Shanghai-Hong Kong Stock Connect is a cross-boundary investment channel that connects the Shanghai Stock Exchange and the Hong Kong Stock Exchange. Under the program,investors in each market are able to trade shares on the other market using their local brokers and clearing houses. Chinese Premier Li Keqiang announced the programme on 10 April 2014. The scheme launched on 17 November 2014.
Zhongzhi Capital was founded in 2011 with registered capital of RMB 1bn,it is an asset management company which is headquartered in Beijing. It is registered with the Asset Management Association of China. It is a subsidiary of Zhongzhi Enterprise Group.
Orient Securities Co.,Ltd. also known as DFZQ is a leading Chinese investment bank and brokerage firm. Headquartered in Shanghai,it has more than 8,000 employees and 179 offices and branches across 89 cities nationwide including Hong Kong,Beijing,Shenzhen and Guangzhou. As a full-service securities firm,it provides comprehensive and one-stop integrated financial services including investment banking,fixed income,equities,futures and derivatives trading,research,securities investment,asset management,wealth management,investment consulting and private equity.
The Market Misconduct Tribunal is an independent body in Hong Kong which is established under the Securities and Futures Ordinance (SFO),and is chaired by a judge or former judge of the High Court who sits with two members.
Zhongtai Securities (ZTSC) is a securities company in China which engages in the operation of large-scale comprehensive securities broking and trading services. The company was founded in 2001 and is headquartered in Jinan,Shandong. It is listed on the Shanghai Stock Exchange and is a member of the SSE 180 Index.
