SFC

She used her client signature without taking approval.

Chan Yiu Ting had placed 6,031 trades involving $573 million worth of shares in a client account without obtaining ...

The company was granted with a Type 4 (advising on securities) and Type 9 (asset management) licence.

In the regulator’s annual report, the SFC highlighted that it identified 1,489 incidents of breaches.

The consultation paper aimed to refine the scope of regulatory activities under the regime.

Ashley Alder has been appointed as IOSCO’s Chair for the 2020-2022 term.

164 transactions totaling $110.1 million were passed without reviewing the source of funds deposited into SSBL bank accounts.

BOCOM International Securities reprimanded and fined for internal control failures

Capital Markets says it maintains offices at Wall Street, New York while its headquarters located in Hong Kong.

The regulator has outlined that leveraged forex trading might not be for everyone.

The two regulators have proposed eight new entities be included in the list.

The prime of prime broker secured the license from the SFC.

The acquisition of the license is in line with the company’s plans for expansion.

FIMHK had also submitted incorrect information to the SFC when applying for a new fund authorization in 2017.

Keep up to date with the most interesting news stories in the FX and crypto space.

The exchange is planning to introduce Bitcoin and Ether futures contracts.

The agency is unlikely to grant permission to companies offering such services.

The laws will try to mitigate the concerns associated with such companies.

The exact number of fund managers with the license is not known.

The MoU aims to strengthen collaboration between the two entities in order to combat illegal activity.

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