Tag: Securities & Futures Commission
Former Hong Kong Licensed Representative Charged for Conspiracy to Defraud in...
Former Hong Kong Licensed Representative Charged for Conspiracy to Defraud in Securities Transactions, Total 8 Charged in Sophisticated Ramp & Dump Market Manipulation Scheme
19th...
Hong Kong SFC Issues Restriction Notices to 3 Brokers to Freeze...
Hong Kong SFC Issues Restriction Notices to 3 Brokers to Freeze Client Accounts in Suspected Misconduct & Breach of Duties for Listed Company FingerTango,...
Hong Kong SFC Fines United States Asset Manager Ninety One $178,000...
Hong Kong SFC Fines United States Asset Manager Ninety One $178,000 for Dealing in 4,864 Futures Trades with $70 Billion Exposure for Portfolios Managed...
Hong Kong Charged Core Member & 6 Others for Securities Fraud...
Hong Kong Charged Core Member & 6 Others for Securities Fraud & Conspiracy in a Sophisticated Syndicate Operating Ramp & Dump Scheme, $82 Million...
Hong Kong SFC Announced New Appointments to 8 SFC Committees
Hong Kong SFC Announced New Appointments to 8 SFC Committees
1st April 2023 | Hong Kong
The Hong Kong Securities and Futures Commission (SFC) has announced...
Hong Kong SFC Criticised Founder Cheung Chi Shing for Failure to...
Hong Kong SFC Criticised Founder Cheung Chi Shing for Failure to Obtain Regulatory Approval after Buying 4.32% of Financial Service & Investment Co. Styland...
Hong Kong SFC Released Quick Licensing Guides: Family Offices, Private Equity,...
Hong Kong SFC Released Quick Licensing Guides: Family Offices, Private Equity, Hedge Funds, Overseas Professionals & Mainland Industry Professionals
25th March 2023 | Hong Kong
The...
Hong Kong Court Dismissed Application to Remove Restriction Notices on Trading...
Hong Kong Court Dismissed Application to Remove Restriction Notices on Trading Accounts Involved in Ramp & Dump Schemes, Applicants to Pay Hong Kong SFC...
Hong Kong SFC Issues Securities Guidance with New China Mainland Rules...
Hong Kong SFC Issues Securities Guidance with New China Mainland Rules for Overseas Listings with Effect from 31st March 2023, H-Shares & Domestic A-Shares...
Hong Kong SFC & HKMA on Credit Suisse: Open for Business,...
Hong Kong SFC & HKMA on Credit Suisse: Open for Business, Total Assets $7.85 Billion Represents 0.5% of Total Banking Sector Assets & 9th...
