Tag: Hong Kong SFC
Hong Kong SFC Released Quick Licensing Guides: Family Offices, Private Equity,...
Hong Kong SFC Released Quick Licensing Guides: Family Offices, Private Equity, Hedge Funds, Overseas Professionals & Mainland Industry Professionals
25th March 2023 | Hong Kong
The...
Hong Kong Court Dismissed Application to Remove Restriction Notices on Trading...
Hong Kong Court Dismissed Application to Remove Restriction Notices on Trading Accounts Involved in Ramp & Dump Schemes, Applicants to Pay Hong Kong SFC...
Hong Kong SFC Issues Securities Guidance with New China Mainland Rules...
Hong Kong SFC Issues Securities Guidance with New China Mainland Rules for Overseas Listings with Effect from 31st March 2023, H-Shares & Domestic A-Shares...
Hong Kong SFC & HKMA on Credit Suisse: Open for Business,...
Hong Kong SFC & HKMA on Credit Suisse: Open for Business, Total Assets $7.85 Billion Represents 0.5% of Total Banking Sector Assets & 9th...
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...
Reminder: Hong Kong SFC to Launch Investor Identification on 20th March...
Reminder: Hong Kong SFC to Launch Investor Identification on 20th March 2023, Investors Must Agree to Information Disclosure to Buy Securities or OTC in...
Hong Kong SFC Bans Convoy Asset Management Wealth Consultant for Life...
Hong Kong SFC Bans Convoy Asset Management Wealth Consultant for Life for Stock Market Manipulation, Paid Colleague 12% to 15% Rebates of Transactions for...
Hong Kong SFC Launches Consultation to Regulate Virtual Asset Trading Platforms...
Hong Kong SFC Launches Consultation to Regulate Virtual Asset Trading Platforms Effective 1st June 2023, Review Access for Retail Investors, Protection for Investors and...
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 SFC Bans CICC Banker 8 Months for Securities Misconduct,...
Hong Kong SFC Bans CICC Banker 8 Months for Securities Misconduct, No Approval from Employer to Open Trading Account & Conducted $6.08 Million via...
