Hong Kong SFC Released Guidelines on Online Distribution and Advisory Platforms

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Hong Kong SFC Released Guidelines on Online Distribution and Advisory Platforms Hong Kong's Securities and Futures Commission (SFC) have released consultation conclusions on Guidelines on Online...

Former HSBC SVP Sentenced to 10.5 Years in Jail for $5.2 Million Investment Scam

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Former HSBC SVP Sentenced to 10.5 Years in Jail for $5.2 Million Investment Scam A former SVP of HSBC has been sentenced to jail for...

HSBC Private Bank Hong Kong Fined HK$400 Million for Derivative Products Sold Between 2003...

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HSBC Private Bank Hong Kong Fined HK$400 Million for Derivative Products Sold Between 2003 to 2008 HSBC Private Bank (HK) had been fined a record...

SFC Bans Former Employee of Citibank for Six Months

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SFC Bans Former Employee of Citibank for Six Months The Securities and Futures Commission (SFC) has banned Mr Cheung Kwan Po, an ex-employee of Citibank...

Former Staff of HSBC Banned for Life

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Former Staff of HSBC Banned for Life The Securities and Futures Commission (SFC) has banned Lam Yuk Wai, a former staff of HSBC from entering...

Former HSBC SVP Pleads Guilty of Cheating $5.2 Million Via Non-Existent Investments

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Former HSBC SVP Pleads Guilty of Cheating $5.2 Million Via Non-Existent Investments A former SVP of HSBC has pleaded guilty on 1st June 2018 for...

Singapore Exchange and India Stock Exchange NSE to meet in India Court to Decide...

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Singapore Exchange and India Stock Exchange NSE to meet in India Court to Decide Fate of Indian Derivative Products Singapore Exchange (SGX) has been notified...

AXA Investment Managers Funds Received Regulatory Approval in Hong Kong

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AXA Investment Managers Funds Received Regulatory Approval in Hong Kong AXA Investment Managers has received approval from Hong Kong Securities and Futures Commission to increase...

Commonwealth Bank of Australia Has Not Been Served Any Legal Proceedings

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Commonwealth Bank of Australia Has Not Been Served Any Legal Proceedings Commonwealth Bank (CBA) are aware that Maurice Blackburn and IMF Bentham are investigating a potential...

SFC Reprimands and Fines HK$2 million HK-based FXCM Asia for Breaches and Control Failings

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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...