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Hong Kong SFC Bans China Tonghai Securities Broker for 20 Months...

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Hong Kong SFC Bans China Tonghai Securities Broker for 20 Months for Executing 1,002 Unauthorised Trades 15th April 2022 | Hong Kong The Hong Kong Securities...

Hong Kong SFC Bans BNP Paribas Private Banker from Industry for...

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Hong Kong SFC Bans BNP Paribas Private Banker from Industry for 27 Months, Pre-Signed Blank Trading Instruction Forms & False Call Reports 1st April 2022...

Hong Kong SFC Fines Emperor Securities & Futures $690,000 for $136...

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Hong Kong SFC Fines Emperor Securities & Futures $690,000 for $136 Million Anti-Money Laundering Failure 18th March 2022 | Hong Kong The Hong Kong Securities &...

Hong Kong SFC Fines HSBC Securities Brokers $810k for Internal Control...

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Hong Kong SFC Fines HSBC Securities Brokers $810k for Internal Control Failures and Breaches 4th March 2022 | Hong Kong The Hong Kong Securities and Futures...

Hong Kong SFC Quarterly Report: 48,657 Licensees & 3,210 Licensed Corporations

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Hong Kong SFC Quarterly Report: 48,657 Licensees & 3,210 Licensed Corporations 25th February 2022 | Hong Kong The Hong Kong Securities and Futures Commission (SFC) has...

Hong Kong SFC Fines Citigroup $44 Million for Trading Desks Misrepresentation...

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Hong Kong SFC Fines Citigroup $44 Million for Trading Desks Misrepresentation to Institutional Clients 28th January 2022 | Hong Kong The Hong Kong Securities and Futures...

Australia & Hong Kong Issue Observations from Joint Review of Foreign...

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Australia & Hong Kong Issue Observations from Joint Review of Foreign Exchange Activities, $6.6 Trillion Trading Volume Per Day 28th January 2022 | Hong Kong Australia...

Hong Kong & Singapore in Joint Operation on Stock Market Manipulation,...

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Hong Kong & Singapore in Joint Operation on Stock Market Manipulation, Arrest 10 Individuals Including Senior Executives of Hong Kong Listco 17th December 2021 |...

Hong Kong SFC Fines Mason Securities $461,000 for Due Diligence Failure...

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Hong Kong SFC Fines Mason Securities $461,000 for Due Diligence Failure at Account Opening and Source of Funds 17th December 2021 | Hong Kong The Hong...

Hong Kong SFC Quarterly Report 2021: Asset & Wealth Management AUM...

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Hong Kong SFC Quarterly Report 2021: Asset & Wealth Management AUM at $4.47 Trillion 11th December 2021 | Hong Kong The Hong Kong SFC (Securities &...