Tag: Securities and Futures Commission
Hong Kong SFC Warns of Investment Scams on Social Media Platforms
Hong Kong SFC Warns of Investment Scams on Social Media Platforms
25th September 2020 | Hong Kong
The Securities and Futures Commission (SFC) of Hong Kong...
Hong Kong SFC Releases Key Statistics in 2017-2018 Annual Report
Hong Kong SFC Releases Key Statistics in 2017-2018 Annual Report
Hong Kong's Securities and Futures Commission (SFC) has released its 2017-18 Annual Report. The financial...
Hong Kong SFC Launches Consultation on Margin Requirements for Non-Centrally Cleared...
Hong Kong SFC Launches Consultation on Margin Requirements for Non-Centrally Cleared OTC Derivatives
Hong Kong's Securities and Futures Commission (SFC) has launched a 2-month consultation...
Hong Kong SFC Fines Former Account Executive of Equity Broker KGI...
Hong Kong SFC Fines Former Account Executive of Equity Broker KGI $10,000 for Failure to Keep Record of Order Instructions
Hong Kong's Securities and Futures...
Hong Kong SFC Fines Hang Seng Investment $380,000 for Paying Lower...
Hong Kong SFC Fines Hang Seng Investment $380,000 for Paying Lower Interest Rates
Hong Kong's Securities and Futures Commission (SFC) has reprimanded has fined Hang...
Hong Kong SFC Fines Noah Holdings $640,000 for Mismatch Transactions and...
Hong Kong SFC Fines Noah Holdings $640,000 for Mismatch Transactions and Defective Risk Profiling
Hong Kong's Securities and Futures Commission (SFC) has fined Noah Holdings...
Hong Kong SFC to Require Disclosure of Benefits and Trading Profits...
Hong Kong SFC to Require Disclosure of Benefits and Trading Profits from Intermediaries
Hong Kong's Securities and Futures Commission (SFC) will require intermediaries providing discretionary...
Hong Kong SFC to Amend Professional Investor Rules in July 2018
Hong Kong SFC to Amend Professional Investor Rules in July 2018
The Securities and Futures Commission (SFC) has released consultation conclusions on proposed amendments to the...
Hong Kong SFC Fines Citigroup $7.26 Million for Deficiencies as IPO...
Hong Kong SFC Fines Citigroup $7.26 Million for Deficiencies as IPO Sponsor
The Securities and Futures Commission (SFC) has reprimanded and fined Citigroup Global Markets...
HK SFC CEO Ashley Alder Reappointed Chair of IOSCO Board
HK SFC CEO Ashley Alder Reappointed Chair of IOSCO Board
Hong Kong Securities and Futures Commission (SFC) Chief Executive Officer Ashley Alder has been reappointed...
