Tag: Securities
11 China Brokerages Including China Largest Brokerage Citic Securities Reduced Trading...
11 China Brokerages Including China Largest Brokerage Citic Securities Reduced Trading Commissions, China Securities Regulatory Commission Had Announced Plans to Reduce Securities Transaction Fees...
China Securities Regulatory Commission Announced Plans to Reduce Securities Transaction Fees...
China Securities Regulatory Commission Announced Plans to Reduce Securities Transaction Fees & Extend Trading Hours from Current 4 Hours Daily, Hong Kong 5.5 Hours...
United States SEC Charged Crypto Asset Hex Founder Richard Heart for...
United States SEC Charged Crypto Asset Hex Founder Richard Heart for Securities Violation & Fraud, Raised $1 Billion from Investors & Used $12 Million...
United States SEC Fines Collectible Cars & Watches Marketplace RSE Markets...
United States SEC Fines Collectible Cars & Watches Marketplace RSE Markets $350,000 for Operating Unregistered Securities Trading Platform, Allow Buyers & Sellers to Trade...
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...
