Tag: SFC
Hong Kong SFC Fines CLSA $1.15 Million over Internal Control Failures
Hong Kong SFC Fines CLSA $1.15 Million over Internal Control Failures
The Securities and Futures Commission (SFC) has reprimanded and fined CLSA Limited (CLSA) $1.15...
Hong Kong SFC Criticises Nomura International for Breaches of Takeovers Code
Hong Kong SFC Criticises Nomura International for Breaches of Takeovers Code
Hong Kong’s Securities and Futures Commission (SFC) has criticised Nomura Hong Kong and Annisa...
Hong Kong SFC Sets Enforcement Priorities for 2018
Hong Kong SFC Sets Enforcement Priorities for 2018
The Securities and Futures Commission (SFC) have set out its enforcement priorities for 2018. At the top...
HK SFC Reprimands and Fines Interactive Brokers HK$4.5 Million for Causing...
HK SFC Reprimands and Fines Interactive Brokers HK$4.5 Million for Causing Market Disruption
The Securities and Futures Commission (SFC) has reprimanded and fined Interactive Brokers...
HK SFC Bans Former DBS Investment Counsellor for 6 Months for...
HK SFC Bans Former DBS Investment Counsellor for 6 Months for Client Data Breach
The Securities and Futures Commission (SFC) has banned former DBS Investment...
Hong Kong SFC Fines EFG Bank HK$2 Million for Unauthorised Dealing...
Hong Kong SFC Fines EFG Bank HK$2 Million for Unauthorised Dealing in 139 Futures Transactions
The Securities and Futures Commission (SFC) has reprimanded and fined...
SFC Reprimands and Fines HK$2 million HK-based FXCM Asia for Breaches...
SFC Reprimands and Fines HK$2 million HK-based FXCM Asia for Breaches and Control Failings
The Securities and Futures Commission (SFC) has reprimanded and fined FXCM...
SFC Bans Former BNP Paribas Trader for 18 months
SFC Bans Former BNP Paribas Trader for 18 months
The Securities and Futures Commission (SFC) has banned former trader of BNP Paribas Hong Kong, Ms...
SFC Bans Former Citibank Relationship Manager for 3 Years
SFC Bans Former Citibank Relationship Manager for 3 Years
The Securities and Futures Commission (SFC) has banned Yeung Leung Yuen, a former relationship manager of...
