Tag: Hong Kong SFC
Hong Kong SFC Fines Zheshang International Financial Holdings $342,000 for Failures...
Hong Kong SFC Fines Zheshang International Financial Holdings $342,000 for Failures in Deposits Checks, Money Laundering & Monitoring of Suspicious Trading Patterns in 23,370...
$4.8 Billion Hong Kong Hedge Fund Segantii Capital Management Insider Trading...
$4.8 Billion Hong Kong Hedge Fund Segantii Capital Management Insider Trading of Esprit Block Trade in 2017: District Court Sets Next Hearing on 19th...
Hong Kong SFC Fines Xinhu International Futures $1.1 Million & Suspends...
Hong Kong SFC Fines Xinhu International Futures $1.1 Million & Suspends ex-Responsible Officer Ngai Wai for 9 Months for Failure in Money Laundering &...
Hong Kong SFC Fines CSC Futures $637,000 for Money Laundering Failure...
Hong Kong SFC Fines CSC Futures $637,000 for Money Laundering Failure in 2017 & 2018, Failed to Conduct Due Diligence on Customer Supplied Systems...
Hong Kong Ramp & Dump Syndicate Core Suspect & Fugitive Chan...
Hong Kong Ramp & Dump Syndicate Core Suspect & Fugitive Chan Sin Ying Charged in Court after Arrest in Singapore & Surrender in Hong...
Hong Kong SFC Celebrates 35th Anniversary on 3rd October 2024 with...
Hong Kong SFC Celebrates 35th Anniversary on 3rd October 2024 with More than 300 Guests in Cocktail Reception at JW Marriott Hotel Hong Kong,...
Hong Kong SFC Published Codes & Guidelines for New Type 13...
Hong Kong SFC Published Codes & Guidelines for New Type 13 Regulated Activity (RA13) with 19 Depositaries to be Licensed or Registered
30th September 2024...
Hong Kong SFC Files Legal Proceedings for Share Repurchase Order to...
Hong Kong SFC Files Legal Proceedings for Share Repurchase Order to Protect Independent Minority Shareholders of LET Group & Summit Ascent Due to Alleged...
Hong Kong SFC Fines Profitech Securities $513,000 for Failure to Maintain...
Hong Kong SFC Fines Profitech Securities $513,000 for Failure to Maintain Required Liquid Capital of HKD 3 Million ($386,000), Improperly Re-pledged Client Securities Collateral...
Hong Kong SFC Issues 9-Month Suspension to ex-Ever-Long Securities Responsible Officer...
Hong Kong SFC Issues 9-Month Suspension to ex-Ever-Long Securities Responsible Officer & Director Wilson Cheung Kin for Breaching SFC Code of Conduct & Sponsor...
