Tag: SFC
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...
Hong Kong Court Dismisses Defendants Application to Cancel HK SFC Freezing...
Hong Kong Court Dismisses Defendants Application to Cancel HK SFC Freezing of Assets in Trading Accounts for Involvement in Ramp & Dump Scheme
29th September 2022...
Hong Kong SFC Commenced Criminal Proceedings Against 2 Individuals for Carrying...
Hong Kong SFC Commenced Criminal Proceedings Against 2 Individuals for Carrying Asset Management Business without License, Pleaded Not Guilty with Pre-Trial Review Set on...
China Expands Stock Connect: Mainland Investors can Trade Foreign Companies Listed...
China Expands Stock Connect: Mainland Investors can Trade Foreign Companies Listed on Hong Kong Exchange via Southbound Trading, Opens Shanghai & Shenzhen Stock Exchanges...
