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Capital Market

Hong Kong SFC Quarterly Report: 48,657 Licensees & 3,210 Licensed Corporations

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Hong Kong SFC Quarterly Report: 48,657 Licensees & 3,210 Licensed Corporations 25th February 2022 | Hong Kong The Hong Kong Securities and Futures Commission (SFC) has...
Capital Market

Hong Kong SFC Fines Citigroup $44 Million for Trading Desks Misrepresentation...

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Hong Kong SFC Fines Citigroup $44 Million for Trading Desks Misrepresentation to Institutional Clients 28th January 2022 | Hong Kong The Hong Kong Securities and Futures...
Private Wealth

Hong Kong & Singapore in Joint Operation on Stock Market Manipulation,...

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Hong Kong & Singapore in Joint Operation on Stock Market Manipulation, Arrest 10 Individuals Including Senior Executives of Hong Kong Listco 17th December 2021 |...
Private Wealth

Hong Kong SFC Fines Mason Securities $461,000 for Due Diligence Failure...

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Hong Kong SFC Fines Mason Securities $461,000 for Due Diligence Failure at Account Opening and Source of Funds 17th December 2021 | Hong Kong The Hong...
Investment

Hong Kong SFC Bans Former Bank of Singapore & Julius Baer...

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Hong Kong SFC Bans Former Bank of Singapore & Julius Baer Private Banker for 10 Years for Using Fake Degree 3rd December 2021 | Hong...
Private Wealth

Hong Kong SFC Bans Former Standard Chartered Relationship Manager and UOB...

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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...
Capital Market

Hong Kong SFC to Promote Trading of China Renminbi Securities, SPAC...

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Hong Kong SFC to Promote Trading of China Renminbi Securities, SPAC and Green & Sustainable Finance Hub 8th October 2021 | Hong Kong Hong Kong Regulator...
ESG

Hong Kong SFC to Require Fund Managers to Include Climate into...

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Hong Kong SFC to Require Fund Managers to Include Climate into Investment & Risk Management Process, Starts from August 2022 26th August 2021 | Hong...
Capital Market

Hong Kong SFC Fines UBS $1.49 Million for Failure to Disclose...

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Hong Kong SFC Fines UBS $1.49 Million for Failure to Disclose Conflict of Interests, Risks and to Qualify Clients 5th August 2021 | Hong Kong The...
Capital Market

Hong Kong SFC Issues Restriction Notices to 13 Brokers for 54...

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Hong Kong SFC Issues Restriction Notices to 13 Brokers for 54 Accounts Related to Social Media Scam 19th February 2021 | Hong Kong Hong Kong Securities...
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