Tag: Hong Kong Securities & Futures Commission
Hong Kong SFC-HKMA Investment Product Survey 2021: $638 Billion Transacted &...
Hong Kong SFC-HKMA Investment Product Survey 2021: $638 Billion Transacted & 18,346 Headcount, Top 3 Products are Structured Products, Collective Investment Schemes & Debt...
Hong Kong Court Dismisses Defendants Application to Cancel HK SFC Freezing...
Hong Kong Court Dismisses Defendants Application to Cancel HK SFC Freezing of Assets in Trading Accounts for Involvement in Ramp & Dump Scheme
29th September 2022...
Hong Kong SFC Commenced Criminal Proceedings Against 2 Individuals for Carrying...
Hong Kong SFC Commenced Criminal Proceedings Against 2 Individuals for Carrying Asset Management Business without License, Pleaded Not Guilty with Pre-Trial Review Set on...
Hong Kong SFC Review: Increased Popularity in Online Investment Services, Equities...
Hong Kong SFC Review: Increased Popularity in Online Investment Services, Equities in Hong Kong, United States & Mainland China, Products include ETFs, Equities, Futures,...
Hong Kong SFC Issues Restriction Notice to Bright Smart Securities to...
Hong Kong SFC Issues Restriction Notice to Bright Smart Securities to Freeze 1 Client Account for Suspected Insider Trading
18th August 2022 | Hong Kong
The...
Hong Kong SFC Fines IPO Sponsor TC Capital $382,000 & Suspends...
Hong Kong SFC Fines IPO Sponsor TC Capital $382,000 & Suspends Chairman Edward Wu License for 7 Months for Due Diligence Failure in China...
Hong Kong SFC Fines KTF Capital $50,000 for Failure to Report...
Hong Kong SFC Fines KTF Capital $50,000 for Failure to Report Insufficient Capital Requirement of $360,000, $2.5 Million Deficit from Failure to Anticipate Adverse...
Hong Kong SFC Fines RBC $980,000 for Failure to Segregate Client...
Hong Kong SFC Fines RBC $980,000 for Failure to Segregate Client Money 86 Times with Highest Single Transaction was $6.62 Million, Transferred Securities from...
Hong Kong SFC & Police Arrests 8 Senior Executives of Former...
Hong Kong SFC & Police Arrests 8 Senior Executives of Former HK Listed Company for Misleading Announcements to Cover $16 Million Bogus Fraud Transactions
7th...
Hong Kong SFC Fines Fund Manager CES Capital $407,000 for Making...
Hong Kong SFC Fines Fund Manager CES Capital $407,000 for Making Investment Decision by Directors, Questionable Underlying Companies Valuation Due to Minimal Due Diligence...
