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Private Wealth

Hong Kong SFC & HKMA on Credit Suisse: Open for Business,...

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Hong Kong SFC & HKMA on Credit Suisse: Open for Business, Total Assets $7.85 Billion Represents 0.5% of Total Banking Sector Assets & 9th...
2023

Hong Kong SFC Fines I-Access Investors $76,000 for Transmitting Test &...

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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...
Private Wealth

Reminder: Hong Kong SFC to Launch Investor Identification on 20th March...

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Reminder: Hong Kong SFC to Launch Investor Identification on 20th March 2023, Investors Must Agree to Information Disclosure to Buy Securities or OTC in...
2023

Hong Kong SFC Bans Convoy Asset Management Wealth Consultant for Life...

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Hong Kong SFC Bans Convoy Asset Management Wealth Consultant for Life for Stock Market Manipulation, Paid Colleague 12% to 15% Rebates of Transactions for...
2023

Hong Kong SFC Launches Consultation to Regulate Virtual Asset Trading Platforms...

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Hong Kong SFC Launches Consultation to Regulate Virtual Asset Trading Platforms Effective 1st June 2023, Review Access for Retail Investors, Protection for Investors and...
2023

Hong Kong SFC Fines Brokerage Jinrui Futures $611,000 for Money Laundering...

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Hong Kong SFC Fines Brokerage Jinrui Futures $611,000 for Money Laundering Failures for 258 Clients,  Banned Executive Director 6 Months & Responsible Officer 5...
Capital Market

Hong Kong SFC Bans CICC Banker 8 Months for Securities Misconduct,...

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Hong Kong SFC Bans CICC Banker 8 Months for Securities Misconduct, No Approval from Employer to Open Trading Account & Conducted $6.08 Million via...
Capital Market

Hong Kong SFC Appoints Deputy CEO Julia Leung as CEO for...

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Hong Kong SFC Appoints Deputy CEO Julia Leung as CEO for 3 Years Effective 1st January 2023, Succeeds Ashley Alder 15th December 2022 | Hong...
Investment

Hong Kong SFC to Launch Investor Identification on 20th March 2023,...

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Hong Kong SFC to Launch Investor Identification on 20th March 2023, Investors Must Agree to Information Disclosure to Buy Securities or OTC in Hong...
Capital Market

Hong Kong SFC Warns Public of Virtual Asset Risks: High Interest...

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Hong Kong SFC Warns Public of Virtual Asset Risks: High Interest Rates on Virtual Deposits, Not Regulated, Not the Same as Bank Deposits, May...
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