Ex-CIC Chief Operating Officer Moves to UBP
Ex-CIC Chief Operating Officer Moves to UBP
The former Chief Operating Officer at CIC in Hong Kong has moved to Union Bancaire Privee.
The new COO...
Hong Kong SFC Fines Former Account Executive of Equity Broker KGI $10,000 for Failure...
Hong Kong SFC Fines Former Account Executive of Equity Broker KGI $10,000 for Failure to Keep Record of Order Instructions
Hong Kong's Securities and Futures...
Deutsche Bank Wealth Management Makes Senior Hires in Asia
Deutsche Bank Wealth Management Makes Senior Hires in Asia
Deutsche Bank Wealth Management has hired four executives from The Bank of East Asia Limited Hong...
Private Bank Edmond de Rothschild Exits Hong Kong
Private Bank Edmond de Rothschild Exits Hong Kong
Swiss private bank Edmond de Rothschild is exiting Hong Kong, more than two decades after it opened...
SFC Bans Former BNP Paribas Trader for 18 months
SFC Bans Former BNP Paribas Trader for 18 months
The Securities and Futures Commission (SFC) has banned former trader of BNP Paribas Hong Kong, Ms...
Hong Kong SFC Fines CN Capital $127,000 for Breaching Trading Control Rules
Hong Kong SFC Fines CN Capital $127,000 for Breaching Trading Control Rules
Hong Kong's Securities and Futures Commission (SFC) has reprimanded CN Capital Management (CN Capital)...
Credit Suisse Hong Kong Pays $47 Million to United States Authorities to Resolve Investigations...
Credit Suisse Hong Kong Pays $47 Million to United States Authorities to Resolve Investigations of Hiring Practices in Asia
Credit Suisse Hong Kong will pay...
SFC Reprimands and Fines HK$2 million HK-based FXCM Asia for Breaches and Control Failings
SFC Reprimands and Fines HK$2 million HK-based FXCM Asia for Breaches and Control Failings
The Securities and Futures Commission (SFC) has reprimanded and fined FXCM...
BNY Mellon Appoints Head of Intermediary Distribution
BNY Mellon Appoints Head of Intermediary Distribution
BNY Mellon Investment Management has appointed Chris Tse as Head of Intermediary Distribution, Hong Kong. He will work...
Credit Suisse Hires New Head of Investment Management
Credit Suisse Hires New Head of Investment Management
Credit Suisse has hired Jacqueline Koo as the new Head of Investment Management, Hong Kong. She has over...
