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2023

Hong Kong SFC & ICAC Arrested 5 Members of $24 Million...

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Hong Kong SFC & ICAC Arrested 5 Members of $24 Million Ramp & Dump Scheme, Key Members Include Senior Executives of Hong Kong Listed-Companies...
Capital Market

Hong Kong SFC Bans Citigroup Head & Board Member for 10...

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Hong Kong SFC Bans Citigroup Head & Board Member for 10 Years for Regulatory Breaches & Internal Control Failures for Revenue, Misrepresentations to Institutional...
Financial Industry

Reminder: Hong Kong SFC to Launch Investor Identification on 20th March...

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Reminder: Hong Kong SFC to Launch Investor Identification on 20th March 2023, Investors Must Agree to Information Disclosure to Buy Securities or OTC in...
Financial Industry

Hong Kong SFC Launches Consultation to Regulate Virtual Asset Trading Platforms...

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Hong Kong SFC Launches Consultation to Regulate Virtual Asset Trading Platforms Effective 1st June 2023, Review Access for Retail Investors, Protection for Investors and...
People

Hong Kong SFC Fines Investment Advisory Firm Cardinalasia Consulting $191,000 &...

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Hong Kong SFC Fines Investment Advisory Firm Cardinalasia Consulting $191,000 & Banned Founder Edward Lee for 9 Months, Unfair $26 Million Loan Agreements for...
2022

Hong Kong SFC Bans CICC Banker 8 Months for Securities Misconduct,...

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Hong Kong SFC Bans CICC Banker 8 Months for Securities Misconduct, No Approval from Employer to Open Trading Account & Conducted $6.08 Million via...
Capital Market

Hong Kong SFC Appoints Deputy CEO Julia Leung as CEO for...

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Hong Kong SFC Appoints Deputy CEO Julia Leung as CEO for 3 Years Effective 1st January 2023, Succeeds Ashley Alder 15th December 2022 | Hong...
Capital Market

Hong Kong SFC to Launch Investor Identification on 20th March 2023,...

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Hong Kong SFC to Launch Investor Identification on 20th March 2023, Investors Must Agree to Information Disclosure to Buy Securities or OTC in Hong...
Capital Market

Hong Kong SFC Warns Public of Virtual Asset Risks: High Interest...

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Hong Kong SFC Warns Public of Virtual Asset Risks: High Interest Rates on Virtual Deposits, Not Regulated, Not the Same as Bank Deposits, May...
Capital Market

Hong Kong SFC & ICAC Conducted Joint Search on $24 Million...

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Hong Kong SFC & ICAC Conducted Joint Search on $24 Million Ramp & Dump Scheme of 6 Hong Kong Listco & Arrested 8 Including...
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