Tag: Securities and Futures Commission
Hong Kong SFC Sets Enforcement Priorities for 2018
Hong Kong SFC Sets Enforcement Priorities for 2018
The Securities and Futures Commission (SFC) have set out its enforcement priorities for 2018. At the top...
HK SFC Reprimands and Fines Interactive Brokers HK$4.5 Million for Causing...
HK SFC Reprimands and Fines Interactive Brokers HK$4.5 Million for Causing Market Disruption
The Securities and Futures Commission (SFC) has reprimanded and fined Interactive Brokers...
HK SFC Fines Credit Suisse HK$39.3 Million for Regulatory Breaches, to...
HK SFC Fines Credit Suisse HK$39.3 Million for Regulatory Breaches, to Compensate HK$7.6 Million
Hong Kong’s Securities and Futures Commission (SFC) have reprimanded and fined...
Moody’s Granted Case to HK Final Court of Appeal for SFC...
Moody’s Granted Case to HK Final Court of Appeal for SFC HK$11 Million Fine for Unfair Reporting
Hong Kong Court of Final Appeal has granted...
HK SFC Bans Former DBS Investment Counsellor for 6 Months for...
HK SFC Bans Former DBS Investment Counsellor for 6 Months for Client Data Breach
The Securities and Futures Commission (SFC) has banned former DBS Investment...
Hong Kong SFC Fines EFG Bank HK$2 Million for Unauthorised Dealing...
Hong Kong SFC Fines EFG Bank HK$2 Million for Unauthorised Dealing in 139 Futures Transactions
The Securities and Futures Commission (SFC) has reprimanded and fined...
SFC Reprimands and Fines Standard Chartered Securities Hong Kong $2.6 Million
SFC Reprimands and Fines Standard Chartered Securities Hong Kong $2.6 Million
The Securities and Futures Commission (SFC) has reprimanded and fined Standard Chartered Securities (Hong...
SFC Reprimands and Fines HK$2 million HK-based FXCM Asia for Breaches...
SFC Reprimands and Fines HK$2 million HK-based FXCM Asia for Breaches and Control Failings
The Securities and Futures Commission (SFC) has reprimanded and fined FXCM...
SFC Bans Former BNP Paribas Trader for 18 months
SFC Bans Former BNP Paribas Trader for 18 months
The Securities and Futures Commission (SFC) has banned former trader of BNP Paribas Hong Kong, Ms...
HSBC Private Bank Hong Kong Fined HK$400 Million for Derivative Products...
HSBC Private Bank Hong Kong Fined HK$400 Million for Derivative Products Sold Between 2003 to 2008
HSBC Private Bank (HK) had been fined a record...
