Tag: Hong Kong SFC
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...
Hong Kong SFC Bans KGI Asia Investment Representative from Financial Industry...
Hong Kong SFC Bans KGI Asia Investment Representative from Financial Industry for Life, Misused $230,000 from 3 Clients Including Gambling
26th May 2022 | Hong...
Hong Kong SFC Bans Former Standard Chartered Relationship Manager and UOB...
Hong Kong SFC Bans Former Standard Chartered Relationship Manager and UOB Dealer for Life following Conviction of Bribery
29th October 2021 | Hong Kong
The Hong...
