Tag: Hong Kong Securities and Futures Commission
Hong Kong SFC Fines HSBC Securities Brokers $810k for Internal Control...
Hong Kong SFC Fines HSBC Securities Brokers $810k for Internal Control Failures and Breaches
4th March 2022 | Hong Kong
The Hong Kong Securities and Futures...
Australia & Hong Kong Issue Observations from Joint Review of Foreign...
Australia & Hong Kong Issue Observations from Joint Review of Foreign Exchange Activities, $6.6 Trillion Trading Volume Per Day
28th January 2022 | Hong Kong
Australia...
Hong Kong SFC Bans Former Bank of Singapore & Julius Baer...
Hong Kong SFC Bans Former Bank of Singapore & Julius Baer Private Banker for 10 Years for Using Fake Degree
3rd December 2021 | Hong...
Hong Kong SFC Bans Former Standard Chartered Relationship Manager and UOB...
Hong Kong SFC Bans Former Standard Chartered Relationship Manager and UOB Dealer for Life following Conviction of Bribery
29th October 2021 | Hong Kong
The Hong...
Former Executives of Hong Kong Financial Group Convoy Global Convicted of...
Former Executives of Hong Kong Financial Group Convoy Global Convicted of Fraud, $6.37 Million in Commission for Bonds Placement
24th September 2021 | Hong Kong
Hong...
Hong Kong SFC Suspends Former Emperor Securities Licensed Representative for 2...
Hong Kong SFC Suspends Former Emperor Securities Licensed Representative for 2 Years for Misconduct
3rd September 2021 | Hong Kong
The Hong Kong Securities and Futures Commission...
Hong Kong SFC Warns Public On Unauthorised Collective Investment Schemes, Publishes...
Hong Kong SFC Warns Public On Unauthorised Collective Investment Schemes, Publishes Alert List
3rd September 2021 | Hong Kong
The Hong Kong Securities and Futures Commission...
Hong Kong SFC and Police Searched Listed Company Office & Residences...
Hong Kong SFC and Police Searched Listed Company Office & Residences for $57.9 Million Corporate Fraud, Arrests 2 for Money-Laundering
3rd September 2021 | Hong...
Hong Kong SFC 2021 Q2 Report: Actions on Market Misconduct, $640,000...
Hong Kong SFC 2021 Q2 Report: Actions on Market Misconduct, $640,000 Fines, 47527 Licensees, ESG Guidelines for Asset Managers
19th August 2021 | Hong Kong
The...
Hong Kong SFC to Require Investor Identification for Securities Trading in...
Hong Kong SFC to Require Investor Identification for Securities Trading in 2022, Reporting of OTC Transactions in 2023
12th August 2021 | Hong Kong
The Hong...
