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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
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
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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
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
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
Brokers
SFC Continues to Scrutinize FX Space, Warns of Capital Markets
Capital Markets says it maintains offices at Wall Street, New York while its headquarters located in Hong Kong.
Friday, 17/04/2020 | 17:47 GMT
by
Aziz Abdel-Qader
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Regulation
SFC Scrutinises Leveraged FX Trading in Hong Kong
The regulator has outlined that leveraged forex trading might not be for everyone.
Thursday, 09/04/2020 | 12:59 GMT
by
Celeste Skinner
Regulation
HKMA and SFC Update OTC Derivatives Services Provider List
The two regulators have proposed eight new entities be included in the list.
Friday, 27/03/2020 | 11:48 GMT
by
Celeste Skinner
Regulation
IS Prime Hong Kong Secures SFC FX Trading License
The prime of prime broker secured the license from the SFC.
Thursday, 16/01/2020 | 08:30 GMT
by
Celeste Skinner
Brokers
TigerWit Gets Financial Services License from Hong Kong’s SFC
The acquisition of the license is in line with the company’s plans for expansion.
Monday, 13/01/2020 | 09:35 GMT
by
Celeste Skinner
Regulation
SFC Fines Fidelity Hong Kong for Unlicensed $40bn Trades
FIMHK had also submitted incorrect information to the SFC when applying for a new fund authorization in 2017.
Monday, 30/12/2019 | 13:42 GMT
by
Aziz Abdel-Qader
Analysis
DX.Exchange Stops Operations, eToro Buys Delta: Editor’s Pick
Keep up to date with the most interesting news stories in the FX and crypto space.
Sunday, 10/11/2019 | 08:16 GMT
by
Celeste Skinner
News
AAX Goes Live in Hong Kong Despite SFC’s Warning on Crypto Futures
The exchange is planning to introduce Bitcoin and Ether futures contracts.
Thursday, 07/11/2019 | 11:10 GMT
by
Arnab Shome
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News
SFC Unlikely to Approve Crypto Futures, Issues Warning
The agency is unlikely to grant permission to companies offering such services.
Wednesday, 06/11/2019 | 13:35 GMT
by
Arnab Shome
Regulation
Hong Kong Brings Regulatory Framework for Crypto Exchanges
The laws will try to mitigate the concerns associated with such companies.
Wednesday, 06/11/2019 | 09:55 GMT
by
Arnab Shome
News
Hong Kong SFC Reluctant to Issue License to Crypto Funds
The exact number of fund managers with the license is not known.
Tuesday, 05/11/2019 | 13:08 GMT
by
Arnab Shome
Regulation
Hong Kong’s SFC Signs MoU with ICAC to Fight Financial Crime
The MoU aims to strengthen collaboration between the two entities in order to combat illegal activity.
Monday, 19/08/2019 | 11:22 GMT
by
Celeste Skinner
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