Tag: Securities and Futures Commission
Hong Kong SFC Quarterly Report: 48,657 Licensees & 3,210 Licensed Corporations
Hong Kong SFC Quarterly Report: 48,657 Licensees & 3,210 Licensed Corporations
25th February 2022 | Hong Kong
The Hong Kong Securities and Futures Commission (SFC) has...
Hong Kong SFC Fines Citigroup $44 Million for Trading Desks Misrepresentation...
Hong Kong SFC Fines Citigroup $44 Million for Trading Desks Misrepresentation to Institutional Clients
28th January 2022 | Hong Kong
The Hong Kong Securities and Futures...
Hong Kong & Singapore in Joint Operation on Stock Market Manipulation,...
Hong Kong & Singapore in Joint Operation on Stock Market Manipulation, Arrest 10 Individuals Including Senior Executives of Hong Kong Listco
17th December 2021 |...
Hong Kong SFC Fines Mason Securities $461,000 for Due Diligence Failure...
Hong Kong SFC Fines Mason Securities $461,000 for Due Diligence Failure at Account Opening and Source of Funds
17th December 2021 | Hong Kong
The Hong...
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...
Hong Kong SFC to Promote Trading of China Renminbi Securities, SPAC...
Hong Kong SFC to Promote Trading of China Renminbi Securities, SPAC and Green & Sustainable Finance Hub
8th October 2021 | Hong Kong
Hong Kong Regulator...
Hong Kong SFC to Require Fund Managers to Include Climate into...
Hong Kong SFC to Require Fund Managers to Include Climate into Investment & Risk Management Process, Starts from August 2022
26th August 2021 | Hong...
Hong Kong SFC Fines UBS $1.49 Million for Failure to Disclose...
Hong Kong SFC Fines UBS $1.49 Million for Failure to Disclose Conflict of Interests, Risks and to Qualify Clients
5th August 2021 | Hong Kong
The...
Hong Kong SFC Issues Restriction Notices to 13 Brokers for 54...
Hong Kong SFC Issues Restriction Notices to 13 Brokers for 54 Accounts Related to Social Media Scam
19th February 2021 | Hong Kong
Hong Kong Securities...