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Investment

Hong Kong Court Jails Individual 2 Weeks for Obstructing SFC Search...

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Hong Kong Court Jails Individual 2 Weeks for Obstructing SFC Search Warrant for Stock Market Manipulation, Delayed Access to Residence & Disposed 2 Mobile...
Investment

Hong Kong SFC Fines Swiss-Asia Asset Mgmt $382,000 for 225 Risky...

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Hong Kong SFC Fines Swiss-Asia Asset Mgmt $382,000 for 225 Risky Options Trade over 15 Months, Breached Client Discretionary Account Trade Parameters for Options  8th...
People

Hong Kong SFC Bans China Galaxy International Securities Broker Tang Shiyi...

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Hong Kong SFC Bans China Galaxy International Securities Broker Tang Shiyi for 10 Months for Violating Staff Dealing Policy, No Approval to Setup Personal...
2022

Hong Kong SFC Reprimands Hedge Fund Gold Dragon Worldwide Asset Mgmt...

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Hong Kong SFC Reprimands Hedge Fund Gold Dragon Worldwide Asset Mgmt for Breaching Takeovers & Mergers Code, Failed to Disclose 53 Trades & Controlled...
Capital Market

Hong Kong SFC Appoints Chew Fook-aun and Agnes Chan Sui-kuen as...

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Hong Kong SFC Appoints Chew Fook-aun and Agnes Chan Sui-kuen as Non-Executive Directors for 2 Years Term 20th October 2022 | Hong Kong Hong Kong SFC...
Investment

Hong Kong SFC Fines Asia Research & Capital Mgmt $223,000 for...

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Hong Kong SFC Fines Asia Research & Capital Mgmt $223,000 for Failure to Comply with EU Short-Selling Reporting Requirements on London Exchange Premier Oil,...
Private Wealth

Hong Kong Court Orders HK & SG Listed Co. Sound Global...

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Hong Kong Court Orders HK & SG Listed Co. Sound Global Ltd Chairman Wen Yibo to Buy Shares from Shareholders at Court-Determined Price in...
Financial Industry

Hong Kong SFC Appeals Tribunal Imposed 2 Years Suspension for Trafalgar...

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Hong Kong SFC Appeals Tribunal Imposed 2 Years Suspension for Trafalgar Capital Mgmt Hedge Fund Manager Christopher James Aarons for Using Material Non-Public Information...
2022

China Expands Stock Connect: Mainland Investors can Trade Foreign Companies Listed...

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China Expands Stock Connect: Mainland Investors can Trade Foreign Companies Listed on Hong Kong Exchange via Southbound Trading, Opens Shanghai & Shenzhen Stock Exchanges...
Capital Market

Hong Kong SFC 2022 Q2 Report: 48,533 Licensees, 2,852 Funds, $4.55...

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Hong Kong SFC 2022 Q2 Report: 48,533 Licensees, 2,852 Funds, $4.55 Trillion AUM, 837 Complaints, 74 Market Misconduct, 53 AML Breaches, 47 Criminal Charges 27th August...
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