Tag: Securities
Hong Kong Court Convicts & Imposed Fine on Individual of HKD...
Hong Kong Court Convicts & Imposed Fine on Individual of HKD 6,000 for Advising on Securities Without Licence, Enticed 3 Retail Investors to Invest...
Hong Kong & China Regulators Held 14th Annual High-Level Meeting on...
Hong Kong & China Regulators Held 14th Annual High-Level Meeting on Enforcement Cooperation Including on Coordinated Investigations, Securities Crimes & Joint Training Programs for...
Hong Kong SFC Issues Securities Guidance with New China Mainland Rules...
Hong Kong SFC Issues Securities Guidance with New China Mainland Rules for Overseas Listings with Effect from 31st March 2023, H-Shares & Domestic A-Shares...
United States SEC Charges Former Co-Founder & CEO of Software Company...
United States SEC Charges Former Co-Founder & CEO of Software Company Slync for Fraud, Sold $67 Million of Securities to Investors, Misappropriated $28 Million...
Hong Kong Court Convicts Former Account Executive of HK Brokerage Fulbright...
Hong Kong Court Convicts Former Account Executive of HK Brokerage Fulbright Securities for Share Trading Fraud with $22,000 Profit, Bought Shares at High Price...
Hong Kong SFC Fines RBC $980,000 for Failure to Segregate Client...
Hong Kong SFC Fines RBC $980,000 for Failure to Segregate Client Money 86 Times with Highest Single Transaction was $6.62 Million, Transferred Securities from...
Hong Kong Exchange Launches New VaR Platform for Post-Trade Clients, New...
Hong Kong Exchange Launches New VaR Platform for Post-Trade Clients, New Margin Requirements Based on Individual Stock Volatility Instead of Flat Margin Rate
17th June...
Hong Kong SFC to Promote Trading of China Renminbi Securities, SPAC...
Hong Kong SFC to Promote Trading of China Renminbi Securities, SPAC and Green & Sustainable Finance Hub
8th October 2021 | Hong Kong
Hong Kong Regulator...
8 Reasons Why You Can Construct a Portfolio Wrongly
8 Reasons Why You Can Construct a Portfolio Wrongly
Does portfolio construction come first or investment strategy takes priority? Perhaps you might vote in favour...
10 Dangers Wealth Managers Face in their Career
10 Dangers Wealth Managers Face in their Career
When the economy is booming and income is rising, like stockbrokers and real estate specialists, wealth managers manage...
