Tag: SFC
HK SFC CEO Ashley Alder Reappointed Chair of IOSCO Board
HK SFC CEO Ashley Alder Reappointed Chair of IOSCO Board
Hong Kong Securities and Futures Commission (SFC) Chief Executive Officer Ashley Alder has been reappointed...
Applicant Fined $1500 for Providing False Information in License Application to...
Applicant Fined $1500 for Providing False Information in License Application to HK SFC
An applicant who had provided false information to Hong Kong Securities and Futures...
Hong Kong SFC Provides Guidance on Use of Instant Messaging to...
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...
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
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
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
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...
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...
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...
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...
