Tag: SFC
Hong Kong SFC CEO Ashley Alder: Regulatory Perspective on Expanding Market...
Hong Kong SFC CEO Ashley Alder: Regulatory Perspective on Expanding Market Access at ASIFMA China Capital Markets Conference
26th May 2022 | Hong Kong
Hong Kong...
Hong Kong SFC Bans China Tonghai Securities Broker for 20 Months...
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...
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...
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...
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
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...
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...
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,...
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...
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...
