Tag: Securities & Futures Commission
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...
Hong Kong SFC and Accounting & Financial Reporting Council Collaborate to...
Hong Kong SFC and Accounting & Financial Reporting Council Collaborate to Tackle Misconduct by Listed Companies on Transferring Funds to 3rd-Party without Commercial Rationale...
Hong Kong SFC Issues 2-Year Ban on RaffAello Capital Principal &...
Hong Kong SFC Issues 2-Year Ban on RaffAello Capital Principal & Responsible Officer for Failure to Discharge Duties as Sponsor Principal for IPO
12th July...
Hong Kong Court Convicts & Imposed Fine on Individual of HKD...
Hong Kong Court Convicts & Imposed Fine on Individual of HKD 6,000 for Advising on Securities Without Licence, Enticed 3 Retail Investors to Invest...
HSBC Launches Crypto ETFs to Clients in Hong Kong, HSBC Hong...
HSBC Launches Crypto ETFs to Clients in Hong Kong, HSBC Hong Kong Clients Can Buy & Sell Bitcoin & Ether-based ETFs
29th June 2023 |...
Hong Kong SFC Fines Taiping Securities $166,000 for Internal Control Failure...
Hong Kong SFC Fines Taiping Securities $166,000 for Internal Control Failure over Employees Day-Trading & Speculative Trading Prohibitions, 7 Employees Conducted Day-Trading with 4...
Hong Kong Central Bank HKMA Held Meeting in May 2023 with...
Hong Kong Central Bank HKMA Held Meeting in May 2023 with HSBC, Standard Chartered & Bank of China For Not Accepting Crypto Exchanges as...
