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Hong Kong SFC Issues 4-Month Ban on ex-MTF Securities Responsible Officer...

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Hong Kong SFC Issues 4-Month Ban on ex-MTF Securities Responsible Officer Joey Lo Wai Hon for Failure to Manage Credit Risks & Report Suspicious...

Hong Kong SFC Appoints Alexandra Yeong as Interim Head of Investment...

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Hong Kong SFC Appoints Alexandra Yeong as Interim Head of Investment Products (1/11/25) in Addition to Current Role as Senior Director of Investment Products...

Hong Kong SFC Distributed 98% of $24.6 Million Compensation Settlement to...

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Hong Kong SFC Distributed 98% of $24.6 Million Compensation Settlement to 600+ Combest Shareholders, Hong Kong Court Awarded Payout in 2025 June as Special...

Hong Kong SFC & HKMA Announced 10 Initiatives in Roadmap for...

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Hong Kong SFC & HKMA Announced 10 Initiatives in Roadmap for Development of Fixed Income & Currency (FIC) Markets with 4 Pillars - 1)...

Hong Kong SFC Files Court Disqualification Orders Against 4 ex-Directors of...

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Hong Kong SFC Files Court Disqualification Orders Against 4 ex-Directors of Century Energy International Holdings (Previously China Oil Gangran Energy Group) for Failure to...

Hong Kong SFC Issues 5-Year Ban on Citigroup Head of Pan-Asia...

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Hong Kong SFC Issues 5-Year Ban on Citigroup Head of Pan-Asia Equities Richard Charles Heyes for Serious Regulatory Breaches & Internal Control Failures, Allowing...

Hong Kong SFC Files Court Order to Freeze $10.5 Million (HKD...

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Hong Kong SFC Files Court Order to Freeze $10.5 Million (HKD 82.4 Million) Assets for Investors Compensation as Part of Ongoing Lawsuit against ex-Chairman...

Hong Kong & UAE Dubai Financial Regulators (SFC & DFSA) Sign...

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Hong Kong & UAE Dubai Financial Regulators (SFC & DFSA) Sign MoU to Cooperate on Regulatory Oversight & Supervision of Collective Investment Scheme Managers...

Hong Kong SFC Fines Nomura Hong Kong Independent Broker Instinet Pacific...

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Hong Kong SFC Fines Nomura Hong Kong Independent Broker Instinet Pacific $1 Million for Failure to Report $3.3 Million in 8,817 Pairs of Cross...

Hong Kong SFC Issues 12-Month Ban on Agg. Asset Management Responsible...

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Hong Kong SFC Issues 12-Month Ban on Agg. Asset Management Responsible Officer Chow Tsz Lam for Fund Management Failures, Lifetime Ban & $218,000 Fine...