Tag: SFC
Hong Kong SFC Quarterly Report 2021: Asset & Wealth Management AUM...
Hong Kong SFC Quarterly Report 2021: Asset & Wealth Management AUM at $4.47 Trillion
11th December 2021 | Hong Kong
The Hong Kong SFC (Securities &...
Hong Kong SFC Bans Former Bank of Singapore & Julius Baer...
Hong Kong SFC Bans Former Bank of Singapore & Julius Baer Private Banker for 10 Years for Using Fake Degree
3rd December 2021 | Hong...
Former Executives of Hong Kong Financial Group Convoy Global Convicted of...
Former Executives of Hong Kong Financial Group Convoy Global Convicted of Fraud, $6.37 Million in Commission for Bonds Placement
24th September 2021 | Hong Kong
Hong...
Hong Kong SFC 2021 Q2 Report: Actions on Market Misconduct, $640,000...
Hong Kong SFC 2021 Q2 Report: Actions on Market Misconduct, $640,000 Fines, 47527 Licensees, ESG Guidelines for Asset Managers
19th August 2021 | Hong Kong
The...
Hong Kong SFC & ICAC Arrests Former Senior Executive of Listed...
Hong Kong SFC & ICAC Arrests Former Senior Executive of Listed Company for Suspicious Loan Activities
13th August 2021 | Hong Kong
The Hong Kong Securities...
Hong Kong SFC to Require Investor Identification for Securities Trading in...
Hong Kong SFC to Require Investor Identification for Securities Trading in 2022, Reporting of OTC Transactions in 2023
12th August 2021 | Hong Kong
The Hong...
Hong Kong SFC Fines UBS $1.49 Million for Failure to Disclose...
Hong Kong SFC Fines UBS $1.49 Million for Failure to Disclose Conflict of Interests, Risks and to Qualify Clients
5th August 2021 | Hong Kong
The...
Hong Kong SFC 2020 Report: Asset and Wealth Management in Hong...
Hong Kong SFC 2020 Report: Asset and Wealth Management in Hong Kong
The Hong Kong Securities and Futures Commission (SFC) has released the 2020 Report...
Hong Kong SFC and Corruption Agency ICAC Crackdown on Stock Manipulation,...
Hong Kong SFC and Corruption Agency ICAC Crackdown on Stock Manipulation, Arrest Listco & Search IPO Underwriter
16th July 2021 | Hong Kong
Hong Kong Securities...
Hong Kong SFC Publishes ESG Fund Disclosure Guidelines, 59 Funds Listed...
Hong Kong SFC Publishes ESG Fund Disclosure Guidelines, 59 Funds Listed Including BlackRock, Amundi and Allianz
30th June 2021 | Hong Kong
The Hong Kong Securities...
