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Tag: Hong Kong Securities & Futures Commission

Capital Market

Hong Kong ETF Connect Starts on 4th July 2022, Trading of...

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Hong Kong ETF Connect Starts on 4th July 2022, Trading of ETFs under Mainland-Hong Kong Stock Connect  30th June 2022 | Hong Kong The Hong Kong...
Investment

Hong Kong SFC Fines China Everbright Securities $484,000 for Anti-Money Laundering...

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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...
Financial Industry

Hong Kong SFC Launches 2 Months Consultation: Enhances Enforcement Against Regulated...

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Hong Kong SFC Launches 2 Months Consultation: Enhances Enforcement Against Regulated Person, Insider Trading & Advertising to Professional Investors 17th June 2022 | Hong Kong The...
2022

Hong Kong SFC Issues Warning to Investors on NFTs Risks: Illiquid,...

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Hong Kong SFC Issues Warning to Investors on NFTs Risks: Illiquid, Volatility, Lack of Transparency, Hacking & Fraud 9th June 2022 | Hong Kong The Hong...
2022

Hong Kong SFC: Regulators to Announce ETF Connect Implementation Details

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Hong Kong SFC: Regulators to Announce ETF Connect Implementation Details 2nd June 2022 | Hong Kong The Hong Kong Securities & Futures Commission (SFC) and the...
2022

Hong Kong SFC CEO Ashley Alder: Regulatory Perspective on Expanding Market...

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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...
2022

Hong Kong SFC Bans BNP Paribas Private Banker from Industry for...

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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...
Capital Market

Hong Kong SFC Fines Emperor Securities & Futures $690,000 for $136...

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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 &...
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