Tag: Hong Kong SFC
Hong Kong SFC and Accounting & Financial Reporting Council Collaborate to...
Hong Kong SFC and Accounting & Financial Reporting Council Collaborate to Tackle Misconduct by Listed Companies on Transferring Funds to 3rd-Party without Commercial Rationale...
Hong Kong Court Convicts & Imposed Fine on Individual of HKD...
Hong Kong Court Convicts & Imposed Fine on Individual of HKD 6,000 for Advising on Securities Without Licence, Enticed 3 Retail Investors to Invest...
Hong Kong Court Charged 4 Individuals for Securities & Illegal Short-Selling...
Hong Kong Court Charged 4 Individuals for Securities & Illegal Short-Selling Fraud in Suspected Ramp & Dump Schemes and Money Laundering
24th June 2023 |...
Hong Kong SFC Disqualifies 3 Directors of National Agricultural Holdings for...
Hong Kong SFC Disqualifies 3 Directors of National Agricultural Holdings for Misconduct over $391 Million of Transactions, Including Inappropriate Transfers & Failure to Pay...
Hong Kong SFC Bans Director of Wansom Asset Management & Wansom...
Hong Kong SFC Bans Director of Wansom Asset Management & Wansom Securities for Life for Providing False & Misleading Information for Licence Applications, Withdrew...
Hong Kong SFC Issues Restriction Notice to Brokerage Firm Global Securities...
Hong Kong SFC Issues Restriction Notice to Brokerage Firm Global Securities Group for Client Assets, Prohibited from Trading & Transferring Until Further Notice
7th June...
Hong Kong SFC Disqualified 2 Former Directors of Luxey International for...
Hong Kong SFC Disqualified 2 Former Directors of Luxey International for Misconduct & Fraud on Corporate Acquisition, Used Nominees to Buy Acquisition Target at...
Hong Kong SFC Launches Consultation on Amendments to Codes on Takeovers...
Hong Kong SFC Launches Consultation on Amendments to Codes on Takeovers & Mergers and Share Buy-backs with Deadline on 23rd June 2023, New Initiatives...
Hong Kong SFC Increased Bail Conditions for Ramp & Dump Scheme...
Hong Kong SFC Increased Bail Conditions for Ramp & Dump Scheme Individual for Breaching Bail Conditions Including Incorrect Residential Address & Missed Routine Reporting...
Hong Kong SFC Fines China On Securities $766,000 for Negligence as...
Hong Kong SFC Fines China On Securities $766,000 for Negligence as Share Placement Agents for Majority Shareholder of Hon Corp in 2019 with Transaction...
