Tag: Hong Kong SFC
Hong Kong Court Charged Suspected Core Members of Large Ramp &...
Hong Kong Court Charged Suspected Core Members of Large Ramp & Dump Syndicate for Market Manipulation, 4 Charged in June 2023 for Securities &...
Hong Kong SFC Fines Changjiang Asset Management $265,000 for Failure to...
Hong Kong SFC Fines Changjiang Asset Management $265,000 for Failure to Segregate Client Money with Amount Ranging from $83,000 to $1 Million, Issued Inaccurate...
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...
