Tag: Hong Kong
Hong Kong SFC Launches Consultation on Margin Requirements for Non-Centrally Cleared...
Hong Kong SFC Launches Consultation on Margin Requirements for Non-Centrally Cleared OTC Derivatives
Hong Kong's Securities and Futures Commission (SFC) has launched a 2-month consultation...
Hong Kong SFC Fines Former Account Executive of Equity Broker KGI...
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...
Hong Kong SFC to Require Disclosure of Benefits and Trading Profits...
Hong Kong SFC to Require Disclosure of Benefits and Trading Profits from Intermediaries
Hong Kong's Securities and Futures Commission (SFC) will require intermediaries providing discretionary...
Hong Kong SFC to Amend Professional Investor Rules in July 2018
Hong Kong SFC to Amend Professional Investor Rules in July 2018
The Securities and Futures Commission (SFC) has released consultation conclusions on proposed amendments to the...
Hong Kong SFC Fines Citigroup $7.26 Million for Deficiencies as IPO...
Hong Kong SFC Fines Citigroup $7.26 Million for Deficiencies as IPO Sponsor
The Securities and Futures Commission (SFC) has reprimanded and fined Citigroup Global Markets...
Hong Kong SFC Provides Guidance on Use of Instant Messaging to...
Hong Kong SFC Provides Guidance on Use of Instant Messaging to Receive Orders from Clients
Hong Kong's Securities and Futures Commission (SFC) has issued a...
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)...
Hong Kong SFC Released Guidelines on Online Distribution and Advisory Platforms
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...
Hong Kong SFC Found Serious Deficiencies in IPO Sponsors Work
Hong Kong SFC Found Serious Deficiencies in IPO Sponsors Work
Hong Kong’s Securities and Futures Commission (SFC) have uncovered serious deficiencies and instances of non-compliance...
Hong Kong SFC Criticises Nomura International for Breaches of Takeovers Code
Hong Kong SFC Criticises Nomura International for Breaches of Takeovers Code
Hong Kong’s Securities and Futures Commission (SFC) has criticised Nomura Hong Kong and Annisa...
