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Tag: Hong Kong Securities and Futures Commission

Former Executives of Hong Kong Financial Group Convoy Global Convicted of...

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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 Suspends Former Emperor Securities Licensed Representative for 2...

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Hong Kong SFC Suspends Former Emperor Securities Licensed Representative for 2 Years for Misconduct 3rd September 2021 | Hong Kong The Hong Kong Securities and Futures Commission...

Hong Kong SFC Warns Public On Unauthorised Collective Investment Schemes, Publishes...

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Hong Kong SFC Warns Public On Unauthorised Collective Investment Schemes, Publishes Alert List  3rd September 2021 | Hong Kong The Hong Kong Securities and Futures Commission...

Hong Kong SFC and Police Searched Listed Company Office & Residences...

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Hong Kong SFC and Police Searched Listed Company Office & Residences for $57.9 Million Corporate Fraud, Arrests 2 for Money-Laundering 3rd September 2021 | Hong...

Hong Kong SFC 2021 Q2 Report: Actions on Market Misconduct, $640,000...

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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 to Require Investor Identification for Securities Trading in...

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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 2020 Report: Asset and Wealth Management in Hong...

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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,...

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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...

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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...

Hong Kong SFC Online Investment Scam Attracted 24,000 Clicks from Viewers,...

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Hong Kong SFC Online Investment Scam Attracted 24,000 Clicks from Viewers, 50% Below Age 35 25th May 2021 | Hong Kong Hong Kong Securities and Futures...