Hong Kong SFC Releases Key Statistics in 2017-2018 Annual Report
Hong Kong SFC Releases Key Statistics in 2017-2018 Annual Report
Hong Kong's Securities and Futures Commission (SFC) has released its 2017-18 Annual Report. The financial...
Hong Kong SFC Fines Former Account Executive of Equity Broker KGI $10,000 for Failure...
Hong Kong SFC Fines Former Account Executive of Equity Broker KGI $10,000 for Failure to Keep Record of Order Instructions
Hong Kong's Securities and Futures...
Credit Suisse Hong Kong Pays $47 Million to United States Authorities to Resolve Investigations...
Credit Suisse Hong Kong Pays $47 Million to United States Authorities to Resolve Investigations of Hiring Practices in Asia
Credit Suisse Hong Kong will pay...
Hong Kong SFC Fines Hang Seng Investment $380,000 for Paying Lower Interest Rates
Hong Kong SFC Fines Hang Seng Investment $380,000 for Paying Lower Interest Rates
Hong Kong's Securities and Futures Commission (SFC) has reprimanded has fined Hang...
Hong Kong SFC Fines Noah Holdings $640,000 for Mismatch Transactions and Defective Risk Profiling
Hong Kong SFC Fines Noah Holdings $640,000 for Mismatch Transactions and Defective Risk Profiling
Hong Kong's Securities and Futures Commission (SFC) has fined Noah Holdings...
Hong Kong SFC to Require Disclosure of Benefits and Trading Profits from Intermediaries
Hong Kong SFC to Require Disclosure of Benefits and Trading Profits from Intermediaries
Hong Kong's Securities and Futures Commission (SFC) will require intermediaries providing discretionary...
Hong Kong SFC to Amend Professional Investor Rules in July 2018
Hong Kong SFC to Amend Professional Investor Rules in July 2018
The Securities and Futures Commission (SFC) has released consultation conclusions on proposed amendments to the...
Hong Kong SFC Fines Citigroup $7.26 Million for Deficiencies as IPO Sponsor
Hong Kong SFC Fines Citigroup $7.26 Million for Deficiencies as IPO Sponsor
The Securities and Futures Commission (SFC) has reprimanded and fined Citigroup Global Markets...
Applicant Fined $1500 for Providing False Information in License Application to HK SFC
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 Fines CN Capital $127,000 for Breaching Trading Control Rules
Hong Kong SFC Fines CN Capital $127,000 for Breaching Trading Control Rules
Hong Kong's Securities and Futures Commission (SFC) has reprimanded CN Capital Management (CN Capital)...
