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2022

Hong Kong SFC Bans China Galaxy International Securities Broker Tang Shiyi...

Caproasia - 0
Hong Kong SFC Bans China Galaxy International Securities Broker Tang Shiyi for 10 Months for Violating Staff Dealing Policy, No Approval to Setup Personal...
Capital Market

Hong Kong SFC Reprimands Hedge Fund Gold Dragon Worldwide Asset Mgmt...

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Hong Kong SFC Reprimands Hedge Fund Gold Dragon Worldwide Asset Mgmt for Breaching Takeovers & Mergers Code, Failed to Disclose 53 Trades & Controlled...
Private Wealth

Hong Kong SFC Appoints Chew Fook-aun and Agnes Chan Sui-kuen as...

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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...
People

Hong Kong SFC Fines Asia Research & Capital Mgmt $223,000 for...

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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,...
2022

Hong Kong Court Orders HK & SG Listed Co. Sound Global...

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Hong Kong Court Orders HK & SG Listed Co. Sound Global Ltd Chairman Wen Yibo to Buy Shares from Shareholders at Court-Determined Price in...
Financial Industry

Hong Kong SFC Charges 13 Individuals for Ramp-and-Dump Scheme Targeting 2...

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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...
Private Wealth

Hong Kong SFC Appoints Christopher Wilson as Executive Director of Enforcement...

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Hong Kong SFC Appoints Christopher Wilson as Executive Director of Enforcement & Michael Duignan as Executive Director of Corporate Finance for 3 Years Term 6th...
2022

Hong Kong SFC-HKMA Investment Product Survey 2021: $638 Billion Transacted &...

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Hong Kong SFC-HKMA Investment Product Survey 2021: $638 Billion Transacted & 18,346 Headcount, Top 3 Products are Structured Products, Collective Investment Schemes & Debt...
Private Wealth

Hong Kong SFC Appeals Tribunal Imposed 2 Years Suspension for Trafalgar...

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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...
Capital Market

Hong Kong SFC Commenced Criminal Proceedings Against 2 Individuals for Carrying...

Caproasia - 0
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...
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