Tag: Hong Kong SFC
Hong Kong SFC Appoints Chew Fook-aun and Agnes Chan Sui-kuen as...
Hong Kong SFC Appoints Chew Fook-aun and Agnes Chan Sui-kuen as Non-Executive Directors for 2 Years Term
20th October 2022 | Hong Kong
Hong Kong SFC...
Hong Kong SFC Fines Asia Research & Capital Mgmt $223,000 for...
Hong Kong SFC Fines Asia Research & Capital Mgmt $223,000 for Failure to Comply with EU Short-Selling Reporting Requirements on London Exchange Premier Oil,...
Hong Kong Court Orders HK & SG Listed Co. Sound Global...
Hong Kong Court Orders HK & SG Listed Co. Sound Global Ltd Chairman Wen Yibo to Buy Shares from Shareholders at Court-Determined Price in...
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,...
