Tag: SFC
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...
Former Hong Kong Licensed Representative Charged for Conspiracy to Defraud in...
Former Hong Kong Licensed Representative Charged for Conspiracy to Defraud in Securities Transactions, Total 8 Charged in Sophisticated Ramp & Dump Market Manipulation Scheme
19th...
Hong Kong Charged Core Member & 6 Others for Securities Fraud...
Hong Kong Charged Core Member & 6 Others for Securities Fraud & Conspiracy in a Sophisticated Syndicate Operating Ramp & Dump Scheme, $82 Million...
Hong Kong SFC Released Consultation Conclusions on Proposed Legislative & Code...
Hong Kong SFC Released Consultation Conclusions on Proposed Legislative & Code Amendments to Regulate Depositaries - Top-Level Trustees & Custodians of Authorized Collective Investment...
Hong Kong SFC & ICAC Arrested 5 Members of $24 Million...
Hong Kong SFC & ICAC Arrested 5 Members of $24 Million Ramp & Dump Scheme, Key Members Include Senior Executives of Hong Kong Listed-Companies...
Hong Kong SFC Fines Investment Advisory Firm Cardinalasia Consulting $191,000 &...
Hong Kong SFC Fines Investment Advisory Firm Cardinalasia Consulting $191,000 & Banned Founder Edward Lee for 9 Months, Unfair $26 Million Loan Agreements for...
Hong Kong & Mainland China Stock Connect Expands to Include Foreign...
Hong Kong & Mainland China Stock Connect Expands to Include Foreign Companies Primary Listed in Hong Kong & Hang Seng Index Component, Expected to...
Hong Kong SFC Fines Guosen Securities $360,000 for Incomplete & Incorrect...
Hong Kong SFC Fines Guosen Securities $360,000 for Incomplete & Incorrect Statements to 930 Clients, Used Expired Agreements of 1,009 Clients for Pledging of...
Hong Kong SFC & ICAC Conducted Joint Search on $24 Million...
Hong Kong SFC & ICAC Conducted Joint Search on $24 Million Ramp & Dump Scheme of 6 Hong Kong Listco & Arrested 8 Including...
Hong Kong Court Jails Individual 2 Weeks for Obstructing SFC Search...
Hong Kong Court Jails Individual 2 Weeks for Obstructing SFC Search Warrant for Stock Market Manipulation, Delayed Access to Residence & Disposed 2 Mobile...
