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Hong Kong SFC Provides Guidance on Use of Instant Messaging to...

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Hong Kong SFC Provides Guidance on Use of Instant Messaging to Receive Orders from Clients Hong Kong's Securities and Futures Commission (SFC) has issued a...

Hong Kong SFC Fines Deutsche Bank & Deutsche Securities $1.06 Million...

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Hong Kong SFC Fines Deutsche Bank & Deutsche Securities $1.06 Million for Regulatory Breaches The Securities and Futures Commission (SFC) has reprimanded and fined Deutsche...

Hong Kong SFC Fines CLSA $1.15 Million over Internal Control Failures

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Hong Kong SFC Fines CLSA $1.15 Million over Internal Control Failures The Securities and Futures Commission (SFC) has reprimanded and fined CLSA Limited (CLSA) $1.15...

Hong Kong SFC Criticises Nomura International for Breaches of Takeovers Code

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Hong Kong SFC Criticises Nomura International for Breaches of Takeovers Code Hong Kong’s Securities and Futures Commission (SFC) has criticised Nomura Hong Kong and Annisa...

Hong Kong SFC Sets Enforcement Priorities for 2018

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Hong Kong SFC Sets Enforcement Priorities for 2018 The Securities and Futures Commission (SFC) have set out its enforcement priorities for 2018.  At the top...

HK SFC Reprimands and Fines Interactive Brokers HK$4.5 Million for Causing...

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HK SFC Reprimands and Fines Interactive Brokers HK$4.5 Million for Causing Market Disruption The Securities and Futures Commission (SFC) has reprimanded and fined Interactive Brokers...

HK SFC Bans Former DBS Investment Counsellor for 6 Months for...

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HK SFC Bans Former DBS Investment Counsellor for 6 Months for Client Data Breach The Securities and Futures Commission (SFC) has banned former DBS Investment...

Hong Kong SFC Fines EFG Bank HK$2 Million for Unauthorised Dealing...

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Hong Kong SFC Fines EFG Bank HK$2 Million for Unauthorised Dealing in 139 Futures Transactions The Securities and Futures Commission (SFC) has reprimanded and fined...

SFC Reprimands and Fines HK$2 million HK-based FXCM Asia for Breaches...

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SFC Reprimands and Fines HK$2 million HK-based FXCM Asia for Breaches and Control Failings The Securities and Futures Commission (SFC) has reprimanded and fined FXCM...

SFC Bans Former BNP Paribas Trader for 18 months

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SFC Bans Former BNP Paribas Trader for 18 months The Securities and Futures Commission (SFC) has banned former trader of BNP Paribas Hong Kong, Ms...