Tag: Hong Kong SFC
Hong Kong SFC Charges 13 Individuals for Ramp-and-Dump Scheme Targeting 2...
Hong Kong SFC Charges 13 Individuals for Ramp-and-Dump Scheme Targeting 2 HK Stocks, Used Social Media, Laundered Money & Manipulated Share Trading Volume Through...
Hong Kong SFC Appoints Christopher Wilson as Executive Director of Enforcement...
Hong Kong SFC Appoints Christopher Wilson as Executive Director of Enforcement & Michael Duignan as Executive Director of Corporate Finance for 3 Years Term
6th...
Hong Kong SFC-HKMA Investment Product Survey 2021: $638 Billion Transacted &...
Hong Kong SFC-HKMA Investment Product Survey 2021: $638 Billion Transacted & 18,346 Headcount, Top 3 Products are Structured Products, Collective Investment Schemes & Debt...
Hong Kong SFC Appeals Tribunal Imposed 2 Years Suspension for Trafalgar...
Hong Kong SFC Appeals Tribunal Imposed 2 Years Suspension for Trafalgar Capital Mgmt Hedge Fund Manager Christopher James Aarons for Using Material Non-Public Information...
Hong Kong SFC Commenced Criminal Proceedings Against 2 Individuals for Carrying...
Hong Kong SFC Commenced Criminal Proceedings Against 2 Individuals for Carrying Asset Management Business without License, Pleaded Not Guilty with Pre-Trial Review Set on...
Hong Kong SFC Suspends Managing Director of Rifa Futures for 8...
Hong Kong SFC Suspends Managing Director of Rifa Futures for 8 Months for Breaching KYC & Anti-Money-Laundering, Fined $1.14 Million in July
8th September 2022...
Hong Kong SFC Review: Increased Popularity in Online Investment Services, Equities...
Hong Kong SFC Review: Increased Popularity in Online Investment Services, Equities in Hong Kong, United States & Mainland China, Products include ETFs, Equities, Futures,...
Hong Kong SFC Fines Brokerage Firm Rifa Futures $1.14 Million for...
Hong Kong SFC Fines Brokerage Firm Rifa Futures $1.14 Million for Failures in KYC & Money-Laundering, 310 Clients including Mainland China Investors Trade Through...
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...
