Hong Kong SFC Provides Guidance on Use of Instant Messaging to Receive Orders from...
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 Released Guidelines on Online Distribution and Advisory Platforms
Hong Kong SFC Released Guidelines on Online Distribution and Advisory Platforms
Hong Kong's Securities and Futures Commission (SFC) have released consultation conclusions on Guidelines on Online...
Hong Kong SFC Fines UBS Securities Asia $570,000 for Failure to Record Client Transactions
Hong Kong SFC Fines UBS Securities Asia $570,000 for Failure to Record Client Transactions
Hong Kong’s Securities and Futures Commission (SFC) has reprimanded and fined...
Hong Kong SFC Fines Deutsche Bank & Deutsche Securities $1.06 Million for Regulatory Breaches
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...
HK SFC Reprimands and Fines Interactive Brokers HK$4.5 Million for Causing Market Disruption
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...
Mirae Asset to Buy 100% Stake in ETF Specialist Global X
Mirae Asset to Buy 100% Stake in ETF Specialist Global X
Mirae Asset Global Investments has announced to buy Global X Management Company (Global X),...
HK SFC Fines Credit Suisse HK$39.3 Million for Regulatory Breaches, to Compensate HK$7.6 Million
HK SFC Fines Credit Suisse HK$39.3 Million for Regulatory Breaches, to Compensate HK$7.6 Million
Hong Kong’s Securities and Futures Commission (SFC) have reprimanded and fined...
Hong Kong SFC Fines EFG Bank HK$2 Million for Unauthorised Dealing in 139 Futures...
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...
