Tag: Securities & Futures Commission
Hong Kong SFC Launches Consultation to Regulate Virtual Asset Trading Platforms...
Hong Kong SFC Launches Consultation to Regulate Virtual Asset Trading Platforms Effective 1st June 2023, Review Access for Retail Investors, Protection for Investors and...
Hong Kong SFC Fines Investment Advisory Firm Cardinalasia Consulting $191,000 &...
Hong Kong SFC Fines Investment Advisory Firm Cardinalasia Consulting $191,000 & Banned Founder Edward Lee for 9 Months, Unfair $26 Million Loan Agreements for...
Hong Kong SFC Bans CICC Banker 8 Months for Securities Misconduct,...
Hong Kong SFC Bans CICC Banker 8 Months for Securities Misconduct, No Approval from Employer to Open Trading Account & Conducted $6.08 Million via...
Hong Kong SFC Appoints Deputy CEO Julia Leung as CEO for...
Hong Kong SFC Appoints Deputy CEO Julia Leung as CEO for 3 Years Effective 1st January 2023, Succeeds Ashley Alder
15th December 2022 | Hong...
Hong Kong SFC to Launch Investor Identification on 20th March 2023,...
Hong Kong SFC to Launch Investor Identification on 20th March 2023, Investors Must Agree to Information Disclosure to Buy Securities or OTC in Hong...
Hong Kong SFC Warns Public of Virtual Asset Risks: High Interest...
Hong Kong SFC Warns Public of Virtual Asset Risks: High Interest Rates on Virtual Deposits, Not Regulated, Not the Same as Bank Deposits, May...
Hong Kong SFC & ICAC Conducted Joint Search on $24 Million...
Hong Kong SFC & ICAC Conducted Joint Search on $24 Million Ramp & Dump Scheme of 6 Hong Kong Listco & Arrested 8 Including...
Hong Kong Court Jails Individual 2 Weeks for Obstructing SFC Search...
Hong Kong Court Jails Individual 2 Weeks for Obstructing SFC Search Warrant for Stock Market Manipulation, Delayed Access to Residence & Disposed 2 Mobile...
Hong Kong SFC Fines Swiss-Asia Asset Mgmt $382,000 for 225 Risky...
Hong Kong SFC Fines Swiss-Asia Asset Mgmt $382,000 for 225 Risky Options Trade over 15 Months, Breached Client Discretionary Account Trade Parameters for Options
8th...
Hong Kong SFC Bans China Galaxy International Securities Broker Tang Shiyi...
Hong Kong SFC Bans China Galaxy International Securities Broker Tang Shiyi for 10 Months for Violating Staff Dealing Policy, No Approval to Setup Personal...
