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Investment

Hong Kong SFC Fines China Everbright Securities $484,000 for Anti-Money Laundering...

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Hong Kong SFC Fines China Everbright Securities $484,000 for Anti-Money Laundering Breaches, Failure to Identify $31 Million from 178 Transactions 17th June 2022 | Hong...
Financial Industry

Hong Kong SFC Launches 2 Months Consultation: Enhances Enforcement Against Regulated...

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Hong Kong SFC Launches 2 Months Consultation: Enhances Enforcement Against Regulated Person, Insider Trading & Advertising to Professional Investors 17th June 2022 | Hong Kong The...
2022

Hong Kong SFC Seeks 2 Years Ban for Chairman & CEO...

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Hong Kong SFC Seeks 2 Years Ban for Chairman & CEO of AMTD Group Calvin Choi, Failure to Disclose Conflict of Interest as Managing...
Capital Market

Hong Kong SFC CEO Ashley Alder: Regulatory Perspective on Expanding Market...

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Hong Kong SFC CEO Ashley Alder: Regulatory Perspective on Expanding Market Access at ASIFMA China Capital Markets Conference  26th May 2022 | Hong Kong Hong Kong...
Capital Market

Hong Kong SFC Bans China Tonghai Securities Broker for 20 Months...

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Hong Kong SFC Bans China Tonghai Securities Broker for 20 Months for Executing 1,002 Unauthorised Trades 15th April 2022 | Hong Kong The Hong Kong Securities...
Capital Market

Hong Kong SFC Bans BNP Paribas Private Banker from Industry for...

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Hong Kong SFC Bans BNP Paribas Private Banker from Industry for 27 Months, Pre-Signed Blank Trading Instruction Forms & False Call Reports 1st April 2022...
Investment

Hong Kong SFC Fines Emperor Securities & Futures $690,000 for $136...

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Hong Kong SFC Fines Emperor Securities & Futures $690,000 for $136 Million Anti-Money Laundering Failure 18th March 2022 | Hong Kong The Hong Kong Securities &...
Private Wealth

Hong Kong SFC Fines HSBC Securities Brokers $810k for Internal Control...

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Hong Kong SFC Fines HSBC Securities Brokers $810k for Internal Control Failures and Breaches 4th March 2022 | Hong Kong The Hong Kong Securities and Futures...
Capital Market

Hong Kong SFC Quarterly Report: 48,657 Licensees & 3,210 Licensed Corporations

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Hong Kong SFC Quarterly Report: 48,657 Licensees & 3,210 Licensed Corporations 25th February 2022 | Hong Kong The Hong Kong Securities and Futures Commission (SFC) has...
Capital Market

Hong Kong SFC Fines Citigroup $44 Million for Trading Desks Misrepresentation...

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Hong Kong SFC Fines Citigroup $44 Million for Trading Desks Misrepresentation to Institutional Clients 28th January 2022 | Hong Kong The Hong Kong Securities and Futures...
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