Tag: Securities & Futures Commission
Hong Kong District Court Held 1st Hearing of 3 Large-Scale Ramp...
Hong Kong District Court Held 1st Hearing of 3 Large-Scale Ramp & Dump Cases, 18 Defendants Charged for Market Manipulation, Fraud & Money Laundering...
Hong Kong Court Transfers 3 Large-Scale Ramp & Dump Cases with...
Hong Kong Court Transfers 3 Large-Scale Ramp & Dump Cases with 18 Defendants to District Court with Higher Sentencing Authority for Trial Scheduled for...
Hong Kong Monetary Authority to Launch in Mid-2024 Project Ensemble Architecture...
Hong Kong Monetary Authority to Launch in Mid-2024 Project Ensemble Architecture Community to Support Development of Tokenisation Market, Community Comprises of HKMA, Hong Kong...
Hong Kong SFC Commenced Legal Proceedings Against AMTD Global Markets &...
Hong Kong SFC Commenced Legal Proceedings Against AMTD Global Markets & 3 Ex-Executives for Not Complying with IPO-Related Investigations of Suspected Fraud & Misleading...
UBS Launches 3 Crypto ETFs in Hong Kong for Investors to...
UBS Launches 3 Crypto ETFs in Hong Kong for Investors to Trade ETFs Relating to Bitcoin & Ethereum on Trading Platform, HSBC Launched Crypto...
Hong Kong SFC Issues 7-Year Ban on Changjiang Corporate Finance Responsible...
Hong Kong SFC Issues 7-Year Ban on Changjiang Corporate Finance Responsible Officer Ivan Chan for Failure as Sponsor Principal in 5 IPOs, Changjiang Corporate...
Hong Kong SFC Issues 2-Year Ban on Ex-UBS Managing Director &...
Hong Kong SFC Issues 2-Year Ban on Ex-UBS Managing Director & Chairman of AMTD Group Calvin Choi, Failure to Disclose Conflict of Interest as...
Hong Kong SFC Fines Changjiang Corporate Finance $2.5 Million & Suspended...
Hong Kong SFC Fines Changjiang Corporate Finance $2.5 Million & Suspended Partially for 1 Year for 6 IPO Sponsor Failures Including Due Diligence, Advisory...
Hong Kong SFC Fines China Industrial Securities International Brokerage $446,000 for...
Hong Kong SFC Fines China Industrial Securities International Brokerage $446,000 for Internal Control Failures for Suspicious Trading & Recording of Order Instructions, Only 5,000...
Hong Kong SFC Fines Changjiang Asset Management $265,000 for Failure to...
Hong Kong SFC Fines Changjiang Asset Management $265,000 for Failure to Segregate Client Money with Amount Ranging from $83,000 to $1 Million, Issued Inaccurate...
