Tag: Hong Kong SFC
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...
Hong Kong SFC Secured $24.6 Million Compensation Settlement from 3 ex-Directors...
Hong Kong SFC Secured $24.6 Million Compensation Settlement from 3 ex-Directors to Pay Shareholders of Hong Kong-Delisted Combest Holdings Limited, Caused Combest to Acquire...
Hong Kong SFC Issues Restriction Notice to Kingston Securities on a...
Hong Kong SFC Issues Restriction Notice to Kingston Securities on a Client Account Who is a Hong Kong-Listed Company Director Suspected of Misconduct &...
Hong Kong SFC Files Legal Proceedings to Disqualify 7 ex-Directors &...
Hong Kong SFC Files Legal Proceedings to Disqualify 7 ex-Directors & 2 ex-De Facto Directors of Suspended Hong Kong Exchange-Listed SoftMedx Healthcare Limited for...
Hong Kong SFC Releases 2 New Quick Guides on Licensing Requirements...
Hong Kong SFC Releases 2 New Quick Guides on Licensing Requirements for Visiting Professionals & Returning Professionals, Complements 5 Previous Guides Released in 2023...
Hong Kong SFC Issues Lifetime Ban on ex-UBS Associate Director Charles...
Hong Kong SFC Issues Lifetime Ban on ex-UBS Associate Director Charles Lam Chung Yiu after 7-Year Jail Sentence Conviction in 2023 for $1.8 Million...
