SFC

Eight members of the Canadian Securities Administrators are part of the fintech cooperation framework.

The SFC had reprimanded the firm in March with a $5 million fine.

The total number of licensed corporations increased to 3,159.

The company issued the incorrect statements to clients and did not immediately disclose the issue to the regulator.

Hong Kong’s regulations require firms to deliver the shares, after completion of a short sale transaction.

The commission will work on innovative technology projects and information sharing with the Israeli Securities Authority.

20% of the market manipulation schemes the SFC is currently investigating are “ramp and dump scams”

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.

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