Tag: Hong Kong Securities & Futures Commission
Hong Kong SFC Fines China Everbright Securities $484,000 for Anti-Money Laundering...
Hong Kong SFC Fines China Everbright Securities $484,000 for Anti-Money Laundering Breaches, Failure to Identify $31 Million from 178 Transactions
17th June 2022 | Hong...
Hong Kong SFC Launches 2 Months Consultation: Enhances Enforcement Against Regulated...
Hong Kong SFC Launches 2 Months Consultation: Enhances Enforcement Against Regulated Person, Insider Trading & Advertising to Professional Investors
17th June 2022 | Hong Kong
The...
Hong Kong SFC Issues Warning to Investors on NFTs Risks: Illiquid,...
Hong Kong SFC Issues Warning to Investors on NFTs Risks: Illiquid, Volatility, Lack of Transparency, Hacking & Fraud
9th June 2022 | Hong Kong
The Hong...
Hong Kong SFC: Regulators to Announce ETF Connect Implementation Details
Hong Kong SFC: Regulators to Announce ETF Connect Implementation Details
2nd June 2022 | Hong Kong
The Hong Kong Securities & Futures Commission (SFC) and the...
Hong Kong SFC CEO Ashley Alder: Regulatory Perspective on Expanding Market...
Hong Kong SFC CEO Ashley Alder: Regulatory Perspective on Expanding Market Access at ASIFMA China Capital Markets Conference
26th May 2022 | Hong Kong
Hong Kong...
Hong Kong SFC Bans BNP Paribas Private Banker from Industry for...
Hong Kong SFC Bans BNP Paribas Private Banker from Industry for 27 Months, Pre-Signed Blank Trading Instruction Forms & False Call Reports
1st April 2022...
Hong Kong SFC Fines Emperor Securities & Futures $690,000 for $136...
Hong Kong SFC Fines Emperor Securities & Futures $690,000 for $136 Million Anti-Money Laundering Failure
18th March 2022 | Hong Kong
The Hong Kong Securities &...
