Tag: Hong Kong Securities & Futures Commission
Hong Kong SFC Granted Court Orders to Stop Investment Banker &...
Hong Kong SFC Granted Court Orders to Stop Investment Banker & Friend Who Had Left Hong Kong from Moving Assets Including $1.05 Million of...
Hong Kong SFC Commits to Become a Carbon-Neutral Organisation Before 2050...
Hong Kong SFC Commits to Become a Carbon-Neutral Organisation Before 2050 in Line with Hong Kong Climate Action Plan 2050, Interim Target of Reducing...
Hong Kong SFC Released Consultation Conclusions on Proposed Legislative & Code...
Hong Kong SFC Released Consultation Conclusions on Proposed Legislative & Code Amendments to Regulate Depositaries - Top-Level Trustees & Custodians of Authorized Collective Investment...
Hong Kong SFC Fines I-Access Investors $76,000 for Transmitting Test &...
Hong Kong SFC Fines I-Access Investors $76,000 for Transmitting Test & Simulated Securities Trading Data to Clients Triggering Stop-Loss Sell Orders, Did Not Inform...
Hong Kong SFC & China Central Bank People’s Bank of China...
Hong Kong SFC & China Central Bank People’s Bank of China Top Management High Level Meeting in Beijing, Discussed on Financial Cooperation, Renminbi Internationalisation...
Hong Kong SFC Fines Brokerage Jinrui Futures $611,000 for Money Laundering...
Hong Kong SFC Fines Brokerage Jinrui Futures $611,000 for Money Laundering Failures for 258 Clients, Banned Executive Director 6 Months & Responsible Officer 5...
Hong Kong & Mainland China Stock Connect Expands to Include Foreign...
Hong Kong & Mainland China Stock Connect Expands to Include Foreign Companies Primary Listed in Hong Kong & Hang Seng Index Component, Expected to...
Hong Kong SFC Fines Guosen Securities $360,000 for Incomplete & Incorrect...
Hong Kong SFC Fines Guosen Securities $360,000 for Incomplete & Incorrect Statements to 930 Clients, Used Expired Agreements of 1,009 Clients for Pledging of...
Hong Kong SFC Fines Asia Research & Capital Mgmt $223,000 for...
Hong Kong SFC Fines Asia Research & Capital Mgmt $223,000 for Failure to Comply with EU Short-Selling Reporting Requirements on London Exchange Premier Oil,...
Hong Kong Court Orders HK & SG Listed Co. Sound Global...
Hong Kong Court Orders HK & SG Listed Co. Sound Global Ltd Chairman Wen Yibo to Buy Shares from Shareholders at Court-Determined Price in...
