Tag: SFC
Hong Kong SFC Released Consultation Conclusions on Proposed Legislative & Code...
Hong Kong SFC Released Consultation Conclusions on Proposed Legislative & Code Amendments to Regulate Depositaries - Top-Level Trustees & Custodians of Authorized Collective Investment...
Hong Kong SFC & ICAC Arrested 5 Members of $24 Million...
Hong Kong SFC & ICAC Arrested 5 Members of $24 Million Ramp & Dump Scheme, Key Members Include Senior Executives of Hong Kong Listed-Companies...
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 & Mainland China Stock Connect Expands to Include Foreign...
Hong Kong & Mainland China Stock Connect Expands to Include Foreign Companies Primary Listed in Hong Kong & Hang Seng Index Component, Expected to...
Hong Kong SFC Fines Guosen Securities $360,000 for Incomplete & Incorrect...
Hong Kong SFC Fines Guosen Securities $360,000 for Incomplete & Incorrect Statements to 930 Clients, Used Expired Agreements of 1,009 Clients for Pledging of...
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...
Hong Kong SFC Reprimands Hedge Fund Gold Dragon Worldwide Asset Mgmt...
Hong Kong SFC Reprimands Hedge Fund Gold Dragon Worldwide Asset Mgmt for Breaching Takeovers & Mergers Code, Failed to Disclose 53 Trades & Controlled...
