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the Hong Kong Securities and Futures Commission
Organization
18
Total Mentions
18
Documents
474
Connected Entities
The Hong Kong Securities and Futures Commission appears exclusively in boilerplate regulatory disclosure text at the bottom of investment research reports from major Wall Street firms like Merrill Lynch and Goldman Sachs, with no substantive connection to the Epstein case.
All 18 mentions of the Hong Kong Securities and Futures Commission (SFC) occur in standardized legal disclosure sections of investment research documents. These are template notices found at the end of analyst reports stating that "Merrill Lynch (Asia Pacific) Limited" is "regulated by the Hong Kong Securities and Futures Commission" or that Goldman Sachs entities are similarly regulated. The SFC is mentioned as part of the global regulatory framework these firms must acknowledge when distributing research internationally.
Key Highlights
- •100% of mentions are in boilerplate legal/regulatory disclosures, not substantive content
- •The SFC is Hong Kong's independent securities regulator, established in 1989 after the 1987 market crash
- •These documents appear to be investment research reports that happened to be in the House Oversight files, with no indication of Epstein-specific relevance
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Document Mentions (18)
No Subject
1 mentionHOUSE_OVERSIGHT_010609 - HOUSE_OVERSIGHT_010616
Sep 22, 2016Source: House Oversight Committee
ted, regulated by the Australian Securities and Investments Commission; Merrill Lynch (Hong Kong): Merrill Lynch (Asia Pacific) Limited, regulated by the Hong Kong Securities and Futures Commission (HKSFC); Merrill Lynch (Singapore): Merrill Lynch (Singapore) Pte Ltd, regulated by the Monetary Authority of Singapore (MAS); Merrill Lynch (Canada)
Page: HOUSE_OVERSIGHT_010614 →Price Objective Change
1 mentionHOUSE_OVERSIGHT_014315 - HOUSE_OVERSIGHT_014396
Nov 17, 2016Source: House Oversight Committee
y The Financial Service Board; MLI (UK): Merrill Lynch International, regulate PRA}; Merrill Lynch (Australia): Merril Pacific) Limited, regulated by the Hong Kong Securities and Futures Commission (HKSFC); Merrill Lynch (Singapore): Merril Singapore (MAS): Merrill Lynch (Canada): Merrill Lynch Canada Inc, regulated by the Investment Industry Re
Page: HOUSE_OVERSIGHT_014394 →Investment Strategy
1 mentionHOUSE_OVERSIGHT_014404 - HOUSE_OVERSIGHT_014409
Nov 17, 2016Source: House Oversight Committee
ted, regulated by the Australian Securities and Investments Commission; Merrill Lynch (Hong Kong): Merrill Lynch (Asia Pacific) Limited, regulated by the Hong Kong Securities and Futures Commission (HKSFC); Merrill Lynch (Singapore): Merrill Lynch (Singapore) Pte Ltd, regulated by the Monetary Authority of Singapore (MAS); Merrill Lynch (Canada)
Page: HOUSE_OVERSIGHT_014408 →Sponsored
No Subject
1 mentionHOUSE_OVERSIGHT_014424 - HOUSE_OVERSIGHT_014431
Nov 13, 2016Source: House Oversight Committee
ted, regulated by the Australian Securities and Investments Commission; Merrill Lynch (Hong Kong): Merrill Lynch (Asia Pacific) Limited, regulated by the Hong Kong Securities and Futures Commission (HKSFC); Merrill Lynch (Singapore): Merrill Lynch (Singapore) Pte Ltd, regulated by the Monetary Authority of Singapore (MAS); Merrill Lynch (Canada)
Page: HOUSE_OVERSIGHT_014429 →Investment Strategy
1 mentionHOUSE_OVERSIGHT_014432 - HOUSE_OVERSIGHT_014459
Dec 2, 2016Source: House Oversight Committee
ted, regulated by the Australian Securities and Investments Commission; Merrill Lynch (Hong Kong): Merrill Lynch (Asia Pacific) Limited, regulated by the Hong Kong Securities and Futures Commission (HKSFC); Merrill Lynch (Singapore): Merrill Lynch (Singapore) Pte Ltd, regulated by the Monetary Authority of Singapore (MAS): Merrill Lynch (Canada)
Page: HOUSE_OVERSIGHT_014457 →No Subject
1 mentionHOUSE_OVERSIGHT_014460 - HOUSE_OVERSIGHT_014497
Nov 30, 2016Source: House Oversight Committee
ted, regulated by the Australian Securities and Investments Commission; Merrill Lynch (Hong Kong): Merrill Lynch (Asia Pacific) Limited, regulated by the Hong Kong Securities and Futures Commission (HKSFC); Merrill Lynch (Singapore): Merrill Lynch (Singapore) Pte Ltd, regulated by the Monetary Authority of Singapore (MAS); Merrill Lynch (Canada)
Page: HOUSE_OVERSIGHT_014496 →Sponsored
isg-outlook-2017.pdf
1 mentionHOUSE_OVERSIGHT_014532 - HOUSE_OVERSIGHT_014621
Jan 5, 2017Source: House Oversight Committee
advising on securities and asset management with the Hong Kong Securities & Futures Commission. Goldman Sachs Asset Management International is
1 mention
ted, regulated by the Australian Securities and Investments Commission; Merrill Lynch (Hong Kong): Merrill Lynch (Asia Pacific) Limited, regulated by the Hong Kong Securities and Futures Commission (HKSFC); Merrill Lynch (Singapore): Merrill Lynch (Singapore) Pte Ltd, regulated by the Monetary Authority of Singapore (MAS); Merrill Lynch (Canada)
Page: HOUSE_OVERSIGHT_014650 →No Subject
1 mentionHOUSE_OVERSIGHT_014731 - HOUSE_OVERSIGHT_014787
Nov 21, 2016Source: House Oversight Committee
ulated by the Financial Conduct Authority (FCA) an he Australian Securities and Investments Commission; Merrill Lynch Pacific) Limited, regulated by the Hong Kong Securities and Futures Commission (HKSFC); Merrill Lynch (Singapore): Merrill Lynch (Singapore) Pte Ltd, regu Singapore (MAS); Merrill Lynch (Canada): Merrill Lynch Canada Inc, regula
Page: HOUSE_OVERSIGHT_014785 →Sponsored
Estimate Change
1 mentionHOUSE_OVERSIGHT_014873 - HOUSE_OVERSIGHT_014886
Apr 11, 2017Source: House Oversight Committee
CA) and the Prudential Regulation Authority an Securities and Investments Commission; Merrill Lynch (Hong Kong): Merri Pacific) Limited, regulated by the Hong Kong Securities and Futures Commission (HKSFQ); Merrill Lynch (Singapore): Merrill Lynch (Singapore) Pte Ltd, regulated by the Monetary Au Singapore (MAS); Merrill Lynch (Canada): Merrill
Page: HOUSE_OVERSIGHT_014885 →Earnings Preview
1 mentionHOUSE_OVERSIGHT_014887 - HOUSE_OVERSIGHT_014950
Apr 6, 2017Source: House Oversight Committee
ted, regulated by the Australian Securities and Investments Commission; Merrill Lynch (Hong Kong): Merrill Lynch (Asia Pacific) Limited, regulated by the Hong Kong Securities and Futures Commission (HKSFC); Merrill Lynch (Singapore): Merrill Lynch (Singapore) Pte Ltd, regulated by the Monetary Authority of Singapore (MAS); Merrill Lynch (Canada)
Page: HOUSE_OVERSIGHT_014949 →No Subject
1 mentionHOUSE_OVERSIGHT_016111 - HOUSE_OVERSIGHT_016196
Jun 30, 2016Source: House Oversight Committee
ted, regulated by the Australian Securities and Investments Commission; Merrill Lynch (Hong Kong): Merrill Lynch (Asia Pacific) Limited, regulated by the Hong Kong Securities and Futures Commission (HKSFC) and the Hong Kong Monetary Authority (HKMA); Merrill Lynch (Singapore): Merrill Lynch (Singapore) Pte Ltd, regulated by the Monetary Authorit
Page: HOUSE_OVERSIGHT_016193 →Sponsored
Quantitative Analysis
1 mentionHOUSE_OVERSIGHT_023069 - HOUSE_OVERSIGHT_023095
Jan 31, 2017Source: House Oversight Committee
ted, regulated by the Australian Securities and Investments Commission; Merrill Lynch (Hong Kong): Merrill Lynch (Asia Pacific) Limited, regulated by the Hong Kong Securities and Futures Commission (HKSFC); Merrill Lynch (Singapore): Merrill Lynch (Singapore) Pte Ltd, regulated by the Monetary Authority of Singapore (MAS); Merrill Lynch (Canada)
Page: HOUSE_OVERSIGHT_023094 →FOMC March Meeting Preview
1 mentionHOUSE_OVERSIGHT_025663 - HOUSE_OVERSIGHT_025698
Nov 17, 2017Source: House Oversight Committee
Commission under US laws; GSALLC is regulated by the Hong Kong Securities and Futures Commission under Hong Kong laws; and GSI is regulated by the
No Subject
1 mentionHOUSE_OVERSIGHT_025978 - HOUSE_OVERSIGHT_026004
Aug 9, 2016Source: House Oversight Committee
ted, regulated by the Australian Securities and Investments Commission; Merrill Lynch (Hong Kong}: Merrill Lynch (Asia Pacific) Limited, regulated by the Hong Kong Securities and Futures Commission (HKSFC) and the Hong Kong Monetary Authority (HKMA); Merrill Lynch (Singapore): Merrill Lynch (Singapore) Pte Ltd, regulated by the Monetary Authorit
Page: HOUSE_OVERSIGHT_026002 →Sponsored
HOUSE_OVERSIGHT_026036 - HOUSE_OVERSIGHT_026040
1 mentionSource: House Oversight Committee
ors. HOUSE_OVERSIGHT_026039 --- PAGE BREAK --- This report is published and distributed by IND-X Advisors Limited (“IND-X”). IND-X is regulated by the Hong Kong Securities and Futures Commission and is a registered investment advisor with the U.S. Securities and Exchange Commission. This message is intended for the addressee only and may cont
Page: HOUSE_OVERSIGHT_026040 →HOUSE_OVERSIGHT_026041 - HOUSE_OVERSIGHT_026046
1 mentionSource: House Oversight Committee
s but each gets a governor and two senators. This report is published and distributed by IND-X Advisors Limited (“IND-X”). IND-X is regulated by the Hong Kong Securities and Futures Commission and is a registered investment advisor with the U.S. Securities and Exchange Commission. This message is intended for the addressee only and may cont
Page: HOUSE_OVERSIGHT_026045 →EconPerspectives_20170127_US
1 mentionHOUSE_OVERSIGHT_033220 - HOUSE_OVERSIGHT_033221
Jan 27, 2017Source: House Oversight Committee
(1 19 2577 E 4F1), a licensed entity regulated by the Hong Kong Securities and Futures Commission. This document has not been reviewed by the Hong
Sponsored
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