Other Information

Photo Gallery
Account Opening
Frequently Asked Questions
Investment Products Related to Lehman Brothers
Privacy Policy Statement
Security Information
Access to Information
Copyright Notice
Disclaimer
Contact Us
RSS Feeds
15.6248

Investment Products Related to Lehman Brothers

Frequently Asked Questions about the Repurchase Scheme offered by The Royal Bank of Scotland N.V. in relation to Lehman Brothers-related Equity-Linked Notes (18 July 2013)

Questions and answers about the Repurchase Scheme offered by Citibank (Hong Kong) Limited in relation to Lehman Brothers-issued Market Linked Notes and Equity Linked Notes (8 July 2011)

SFC and HKMA welcome Minibond Receivers’ announcement (14 June 2011)

SFC and HKMA welcome Minibond collateral recovery agreement (27 March 2011)

SFC, HKMA and Standard Chartered Bank (Hong Kong) reach agreement on Lehman Brothers-issued Equity Linked Notes (1 March 2011)

Questions and answers about the Repurchase Scheme offered by Standard Chartered Bank (Hong Kong) Limited in relation to Lehman Brothers-issued Equity Linked Notes (1 Mar 2011)

SFC, HKMA and DBS Bank (Hong Kong) reach agreement on Lehman Brothers - related Constellation Notes (14 July 2010)

Questions and answers about the Resolution Scheme offered by DBS (Hong Kong) Limited in relation to Lehman-related Constellation Notes (14 July 2010)

SFC, HKMA, Dah Sing Bank Ltd and Mevas Bank Ltd resolve issues concerning Lehman Equity Index-linked Principal Protected Notes (23 December 2009)

SFC, HKMA and 16 banks reach agreement on Minibonds (22 July 2009)

Questions and answers about Lehman Brothers Minibonds Repurchase Scheme by Distributing Banks (updated on 20 August 2010)

Telephone enquiry lines established by banks (or their related organisations) for answering questions on Lehman-Brothers-related investment products:

Banks (in alphabetical order)

Hotline numbers

ABN AMRO Bank N.V. (for private banking customers of the former ABN AMRO Bank N.V.) 3763 3780

Bank of China (Hong Kong) Limited

2836 8708

Bank of Communications 2269 9611
Bank of East Asia Limited 2211 1311

Chiyu Banking Corporation Limited

2843 0182
Chong Hing Bank Limited 3768 6834
Citibank (Hong Kong) Limited 2962 8819
CITIC Ka Wah Bank Limited 2287 6070

Dah Sing Bank Limited

2507 8997
DBS Bank (Hong Kong) Limited 2290 8123
Fubon Bank (Hong Kong) Limited 2806 5080
HSBC (as trustee of some of the products) 2748 3345

Industrial and Commercial Bank of China (Asia) Limited

2533 8418

MEVAS Bank Limited

2507 8821
Nanyang Commercial Bank Limited 2622 2633
Public Bank (Hong Kong) Limited 2851 9293
The Royal Bank of Scotland N.V. (for retail banking customers of the former ABN AMRO Bank N.V.) 2700 5573
Shanghai Commercial Bank Limited 2841 5268
Standard Chartered Bank (Hong Kong) Limited 2886 6212
Wing Hang Bank Limited 2852 5568
Wing Lung Bank Limited 2526 5555

Last update: 25 March 2011

The HKMA has established a dedicated telephone line to assist individual investors who might have complaints in relation to the sale by banks of investment products related to Lehman Brothers. The number is 8100 2314 (operating hours: 9 a.m. to 6 p.m. on Monday to Friday except public holidays). They may also contact the HKMA by email at bankcomplaints@hkma.gov.hk. To facilitate the handling of complaint, complainants may wish to complete the attached form and return it to the HKMA by mail or by fax at 2509 3990. The HKMA might ask complainants to provide further documents relating to the complaints. In such cases, complainants might be asked to send those documents by fax at 2509 3990, 2968 4559 or 2290 5101 (a complaint reference number will be assigned to each complaint and it should be clearly stated at the top right hand corner of all supplementary documents).

Statistics on processing of complaints concerning Lehman-Brothers-related products (PDF File, 22KB)

Investigatory and disciplinary process for Lehman-related complaints (PDF File, 19KB) (updated on 8 January 2010)

The Securities and Futures Commission has published a summary of unlisted retail structured notes issued by or related to Lehman Brothers, which can be viewed on the SFC's website.

When soliciting, recommending or taking orders in respect of securities, including Lehman-Brothers-Related products, on behalf of a bank, an individual should have his/her name entered in the register maintained by the HKMA under section 20 of the Banking Ordinance as engaged by the bank in respect of Type 1 regulated activity (dealing in securities).

Definitions of regulated activities are stated in Schedule 5 of the Securities and Futures Ordinance which can be viewed at the Bilingual Laws Information System.

The SFC has also published answers to frequently asked questions regarding regulated activities and incidental exemption, which can be viewed on the SFC's website.

Lehman-Brothers-Related Products Dispute Mediation and Arbitration Scheme (launched on 3 November 2008)

The HKMA has engaged the Hong Kong International Arbitration Centre to make available mediation and arbitration services on disputes between investors and distributing banks relating to Lehman-Brothers-related products. Click here for details.

Report of the Hong Kong Monetary Authority on Issues Concerning the Distribution of Structured Products Connected to Lehman Group Companies

Related HKMA press releases

Last revision date: 18 July 2013
ABOUT THE HKMA
The HKMA
Tender Invitations
Careers@HKMA
Legislative Council Issues
Links
The HKMA Information Centre
KEY FUNCTIONS
Monetary Stability
Banking Stability
International Financial Centre
Exchange Fund
PUBLICATIONS & RESEARCH
Annual Report
Half-Yearly Monetary & Financial Stability Report
Quarterly Bulletin
HKMA Background Briefs
Reference Materials
Research
MARKET DATA & STATISTICS
CMU Bond Price Bulletin
Economic & Financial Data for Hong Kong
Monthly Statistical Bulletin
Monetary Statistics
KEY INFORMATION
Press Releases
Speeches
Guidelines & Circulars
Forthcoming Events
inSight
OTHER INFORMATION
Account Opening
Consumer Corner
Consumer Education Programme
Complaints about Banks
Complaints about SVF Licensees
Internet Banking
Fraudulent Bank Websites, Phishing E-mails and Similar Scams
Be Careful of Bogus Phone Calls and SMS Messages
Authenticate the Callers and Bank Hotline Numbers
Register of AIs & LROs
Register of Securities Staff of AIs
Register of SVF Licensees
Investment Products Related to Lehman Brothers
Photo Gallery