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Capital Market

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...
Capital Market

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...
Investment

Hong Kong SFC Released Consultation Conclusions on Proposed Legislative & Code...

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Hong Kong SFC Released Consultation Conclusions on Proposed Legislative & Code Amendments to Regulate Depositaries - Top-Level Trustees & Custodians of Authorized Collective Investment...
Capital Market

Hong Kong SFC & ICAC Arrested 5 Members of $24 Million...

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Hong Kong SFC & ICAC Arrested 5 Members of $24 Million Ramp & Dump Scheme, Key Members Include Senior Executives of Hong Kong Listed-Companies...
Capital Market

Hong Kong SFC Fines Investment Advisory Firm Cardinalasia Consulting $191,000 &...

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Hong Kong SFC Fines Investment Advisory Firm Cardinalasia Consulting $191,000 & Banned Founder Edward Lee for 9 Months, Unfair $26 Million Loan Agreements for...
Capital Market

Hong Kong & Mainland China Stock Connect Expands to Include Foreign...

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Hong Kong & Mainland China Stock Connect Expands to Include Foreign Companies Primary Listed in Hong Kong & Hang Seng Index Component, Expected to...
Capital Market

Hong Kong SFC Fines Guosen Securities $360,000 for Incomplete & Incorrect...

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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...
Capital Market

Hong Kong SFC & ICAC Conducted Joint Search on $24 Million...

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Hong Kong SFC & ICAC Conducted Joint Search on $24 Million Ramp & Dump Scheme of 6 Hong Kong Listco & Arrested 8 Including...
Capital Market

Hong Kong Court Jails Individual 2 Weeks for Obstructing SFC Search...

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Hong Kong Court Jails Individual 2 Weeks for Obstructing SFC Search Warrant for Stock Market Manipulation, Delayed Access to Residence & Disposed 2 Mobile...
Investment

Hong Kong SFC Fines Swiss-Asia Asset Mgmt $382,000 for 225 Risky...

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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...
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