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Hong Kong SFC Commenced Legal Proceedings Against AMTD Global Markets &...

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Hong Kong SFC Commenced Legal Proceedings Against AMTD Global Markets & 3 Ex-Executives for Not Complying with IPO-Related Investigations of Suspected Fraud & Misleading...

Hong Kong SFC Supports Development of Voluntary Code of Conduct VCoC...

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Hong Kong SFC Supports Development of Voluntary Code of Conduct VCoC by ESG Ratings & Data Providers to Mitigate Risk of Greenwashing in Investment...

Hong Kong SFC Issues 7-Year Ban on Changjiang Corporate Finance Responsible...

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Hong Kong SFC Issues 7-Year Ban on Changjiang Corporate Finance Responsible Officer Ivan Chan for Failure as Sponsor Principal in 5 IPOs, Changjiang Corporate...

Hong Kong SFC Issues 2-Year Ban on Ex-UBS Managing Director &...

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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...

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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...

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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 Court Fined SFC Licence Applicant $1,000 for Making False...

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Hong Kong Court Fined SFC Licence Applicant $1,000 for Making False & Misleading Representations in Application Process, Failing to Disclose SFC Ban in 2016 26th...

Hong Kong & China Regulators Held 14th Annual High-Level Meeting on...

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Hong Kong & China Regulators Held 14th Annual High-Level Meeting on Enforcement Cooperation Including on Coordinated Investigations, Securities Crimes & Joint Training Programs for...

Former Hong Kong Licensed Representative Charged for Conspiracy to Defraud in...

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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 Charged Core Member & 6 Others for Securities Fraud...

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Hong Kong Charged Core Member & 6 Others for Securities Fraud & Conspiracy in a Sophisticated Syndicate Operating Ramp & Dump Scheme, $82 Million...