Tag: Securities & Futures Commission
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...
Hong Kong SFC & Police Conducted Joint Operation on Illegal Short-Selling...
Hong Kong SFC & Police Conducted Joint Operation on Illegal Short-Selling & Fraud to Mislead 2 Brokerage Firms, Shorted 4 Hong Kong Listed Companies...
Hong Kong SFC New Guidelines for Virtual Asset Trading Platform Operators...
Hong Kong SFC New Guidelines for Virtual Asset Trading Platform Operators to be Effective on 1st June 2023, Licensed Trading Platform Operators Allowed to...
Hong Kong SFC Starts Legal Proceedings to Disqualify 7 Former Directors...
Hong Kong SFC Starts Legal Proceedings to Disqualify 7 Former Directors & Chief Financial Officer of Former Listed Company China Candy Holdings for Falsifying...
