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Institutional FX
SFC Fines CES Capital International HK$3.2 Million
The company failed to discharge its duties as an investment manager of two funds.
CESHK cooperated with the SFC during the investigation.
Monday, 27/06/2022 | 21:22 GMT
by
Felipe Erazo
Analysis
Forex in Hong Kong. CFDs Are Banned, but Traders Seek Other Options
Hong Kong is considered one of the most expensive places to live.
Thus, the average retail trader here has a deep pocket, cPattern data shows.
Thursday, 23/06/2022 | 08:44 GMT
by
Damian Chmiel
News
MaiCapital Gets Hong Kong SFC’s Nod to Manage 100% Digital Asset Funds
The company manages two actively managed blockchain-themed hedge funds.
Until now, it operated with SFC’s Type 4 and Type 9 licenses.
Tuesday, 12/04/2022 | 09:56 GMT
by
Arnab Shome
Institutional FX
Hong Kong SFC Fines Citigroup’s Asia Subsidiary $44.68 Million
The company was accused of multiple regulatory lapses.
The management of the company is likely to face disciplinary actions.
Friday, 28/01/2022 | 09:41 GMT
by
Arnab Shome
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Institutional FX
SFC Imposes $8 Million Fine on Grand International Futures
The commission suspended the responsible officer for regulatory breaches.
The company failed to comply with AML requirements between October 2017 and October 2018.
Thursday, 30/12/2021 | 11:14 GMT
by
Bilal Jafar
Institutional FX
SFC Registered 12 New Open-Ended Fund Companies in the Recent Quarter
The authority imposed fines of $11.95 million between July and September 2021.
Tuesday, 07/12/2021 | 07:48 GMT
by
Bilal Jafar
Institutional FX
Hong Kong’s SFC Issues Restriction Notices on Ramp-and-Dump Scam Case
The authority suspects that around 17 trading accounts from two brokerage firms are involved.
Friday, 26/11/2021 | 16:37 GMT
by
Felipe Erazo
Institutional FX
SFC Imposes $5.5 Million Fine on Ample Capital Limited
The authority suspended the company’s responsible officer for IPO sponsor failures.
Monday, 18/10/2021 | 09:50 GMT
by
Bilal Jafar
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Retail FX
Hong Kong’s SFC Suspends Former Emperor Representative for Two Years
Cheung Man Chit is accused of placing trades on behalf of a client through Emperor's online trading account.
Monday, 30/08/2021 | 16:50 GMT
by
Felipe Erazo
Institutional FX
SFC and ICAC Launch Joint Operation, Five Individuals Arrested
One of the arrested individuals is a former executive of an unnamed listed company.
Friday, 13/08/2021 | 21:45 GMT
by
Felipe Erazo
FinTech
Hong Kong’s SFC and Canada’s CSA Sign Fintech Cooperation Agreement
Eight members of the Canadian Securities Administrators are part of the fintech cooperation framework.
Thursday, 08/07/2021 | 19:18 GMT
by
Felipe Erazo
Retail FX
Hong Kong’s SFC Fines YSL Senior Management Member for Breaching AML Rules
The SFC had reprimanded the firm in March with a $5 million fine.
Monday, 05/07/2021 | 15:59 GMT
by
Felipe Erazo
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Institutional FX
Hong Kong’s SFC Releases Annual Report 2020-21
The total number of licensed corporations increased to 3,159.
Wednesday, 30/06/2021 | 07:16 GMT
by
Bilal Jafar
Institutional FX
Hong Kong’s SFC Slaps Deutsche Securities Asia with HK$2.45M Fine
The company issued the incorrect statements to clients and did not immediately disclose the issue to the regulator.
Thursday, 24/06/2021 | 10:35 GMT
by
Arnab Shome
Brokers
SFC Fines Fulbright Securities $3.5 Million for Short Sale Violations
Hong Kong’s regulations require firms to deliver the shares, after completion of a short sale transaction.
Thursday, 24/12/2020 | 21:28 GMT
by
Aziz Abdel-Qader
News
SFC Hong Kong Signs Fintech Cooperation Agreement with ISA
The commission will work on innovative technology projects and information sharing with the Israeli Securities Authority.
Tuesday, 17/11/2020 | 09:42 GMT
by
Bilal Jafar
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Regulation
Hong Kong’s SFC Warns of ‘Pump-and-Dump’ Scams on Social Media
20% of the market manipulation schemes the SFC is currently investigating are “ramp and dump scams”
Friday, 25/09/2020 | 21:45 GMT
by
Aziz Abdel-Qader
Executive Moves
SFC Suspends Ex-UBS Advisor for 8 Months
She used her client signature without taking approval.
Monday, 31/08/2020 | 10:55 GMT
by
Arnab Shome
Executive Moves
SFC Suspends CTSL Account Executive for Unauthorized Trades
Chan Yiu Ting had placed 6,031 trades involving $573 million worth of shares in a client account without obtaining authorization
Wednesday, 12/08/2020 | 15:12 GMT
by
Aziz Abdel-Qader
Regulation
Huobi Asset Management Secures Two Licences from the SFC
The company was granted with a Type 4 (advising on securities) and Type 9 (asset management) licence.
Monday, 03/08/2020 | 09:14 GMT
by
Celeste Skinner
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Regulation
SFC Imposes Fines of $479 Million During 2019-20 Year
In the regulator’s annual report, the SFC highlighted that it identified 1,489 incidents of breaches.
Wednesday, 24/06/2020 | 07:27 GMT
by
Celeste Skinner
Regulation
SFC Concludes Consultation on OTC Derivatives Licensing Regime
The consultation paper aimed to refine the scope of regulatory activities under the regime.
Thursday, 11/06/2020 | 02:13 GMT
by
Celeste Skinner
Executive Moves
IOSCO Re-Elects Hong Kong’s SFC CEO as Chair of Board
Ashley Alder has been appointed as IOSCO’s Chair for the 2020-2022 term.
Wednesday, 10/06/2020 | 05:42 GMT
by
Celeste Skinner
Brokers
Hong Kong SFC Fines Southwest Securities over Third-Party Deposits
164 transactions totaling $110.1 million were passed without reviewing the source of funds deposited into SSBL bank accounts.
Monday, 18/05/2020 | 15:20 GMT
by
Aziz Abdel-Qader
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Regulation
Hong Kong Regulator SFC Imposes $2.5M Fine on BOCOM Securities Arm
BOCOM International Securities reprimanded and fined for internal control failures
Monday, 20/04/2020 | 13:09 GMT
by
Finance Magnates Staff
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