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Brokers
Last Minute Misconduct Complaint Filed against Chinese Financial Giant Citic
2014-09-13T13:46:23.000+02:00
Citic, a leading Chinese state-owned consortium of firms will face a legal battle against Hong Kong’s financial watchdog. The regulator claims Citic misled investors which resulted in major financial losses.
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Regulation
Hong Kong Listed Broker Gets Monetary Penalty for Misleading Advertisement
2014-07-29T21:19:05.000+02:00
Hong Kong regulated broker, Bright Smart Securities fined for publishing advertisement with incorrect information. The penalty was issued by the financial watchdog, the Securities and Futures Commission.
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Regulation
Hong Kong Financial Regulator Slams RBS for Internal Control Failures
2014-04-22T22:57:32.000+02:00
The Securities and Futures Commission, Hong Kong’s main financial watchdog, issued a financial penalty to global banking giant, RBS. The regulator issued a reprimand and fined the bank $750,000 for internal control failures.
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Brokers
Hong Kong's Regulator SFC Warns Against A Cantor Fitzgerald Imposter Website
2014-04-08T17:04:46.000+02:00
The far east appears to be one of the main areas which are targeted by imposter websites which are using a well established name to conceal from its potential victims the true nature of their business.
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Regulation
SFC Alerts of 'Universe Citizen Limited' FXCitizen.com as Unlicensed in Hong Kong
2014-04-02T11:05:06.000+02:00
The Securities and Futures Commission (SFC) of Hong Kong (HK) has added this website and a related entity to its Alert list, as it thought the the firm isn't licensed in HK after it may have targeted HK residents.
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Regulation
Exclusive: Colombian Regulator Temporarily Suspends IronFX Operations in the Country
2014-03-07T11:27:52.000+02:00
IronFX, a provider of fx services, has been accused of operating and promoting its products without proper authorization in Columbia, raising allegations from the Financial Supervisory Authority of Columbia.
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Technology
Hong Kong Regulator Selects Markit for Compliance - Just in Time for New Rules
2013-11-29T15:24:03.000+02:00
Members of the Asia Securities Industry and Financial Markets Association have chosen Markit’s compliance solutions, counterparty manager. The move comes prior to new regulations coming in place from the 1st of January 2014.
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Analysis
Commodities Bubble Bursts as Hong Kong Mercantile Exchange Calls it A Day
2013-05-24T12:00:47.000+02:00
Hong Kong's premier commodity exchange withdraws its license as an Authorized Trading System as market conditions and low volumes make it difficult to operate in an already congested market place.
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Technology
Hong Kong Hedge Fund Industry Picks up Pieces for Worlds Rich Club
2013-04-02T02:57:36.000+02:00
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Brokers
Hong Kong Regulator gives Soc Gen a Slap on the Wrist
2012-07-23T01:43:12.000+02:00
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