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Hong Kong SFC Fines HSBC Securities Brokers $810k for Internal Control...

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Hong Kong SFC Fines HSBC Securities Brokers $810k for Internal Control Failures and Breaches 4th March 2022 | Hong Kong The Hong Kong Securities and Futures...

Australia & Hong Kong Issue Observations from Joint Review of Foreign...

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Australia & Hong Kong Issue Observations from Joint Review of Foreign Exchange Activities, $6.6 Trillion Trading Volume Per Day 28th January 2022 | Hong Kong Australia...

Hong Kong SFC Bans Former Bank of Singapore & Julius Baer...

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Hong Kong SFC Bans Former Bank of Singapore & Julius Baer Private Banker for 10 Years for Using Fake Degree 3rd December 2021 | Hong...

Hong Kong SFC Bans Former Standard Chartered Relationship Manager and UOB...

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Hong Kong SFC Bans Former Standard Chartered Relationship Manager and UOB Dealer for Life following Conviction of Bribery 29th October 2021 | Hong Kong The Hong...

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...