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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
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
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
Regulation

SFC Reprimands, Fines Sincere Securities for Internal Lapses

  • Some client order instructions were received through mobile phone applications, such as WhatsApp messenger,says the regulator.
Thursday, 15/08/2019 | 14:52 GMT by Aziz Abdel-Qader
Regulation

SFC Suggests that Merrill Wealth is Merrill Lynch Clone Firm

  • The entity has been listed on the regulator’s warning page as a “suspicious website.”
Thursday, 25/07/2019 | 12:25 GMT by Celeste Skinner
Regulation

SFC Also Fights Against Clone Firms, Exposes Fake CITIC Bank

  • The Hong Kong regulator has recently made fighting against financial fraud its top enforcement priority.
Thursday, 18/07/2019 | 16:03 GMT by Aziz Abdel-Qader
Regulation

Tim Leissner Banned for Life by Hong Kong SFC

  • The ex-Goldman Sachs banker is facing over ten years in prison for his role in the 1MDB scandal
Wednesday, 03/07/2019 | 12:19 GMT by David Kimberley
Analysis

The Comeback - Deutsche Bank & US FX Market: Editor’s Pick

  • Catch up on some of the top stories in the FX and crypto space this past week.
Sunday, 23/06/2019 | 09:59 GMT by Celeste Skinner
Regulation

SFC Hits Credit Suisse with $2.8M Fine for Disclosure Lapses

  • Some of the violations stretch back more than a decade, with one reprimand over a failure going back to 2006.
Wednesday, 19/06/2019 | 19:00 GMT by Aziz Abdel-Qader
Regulation

SFC Warns Retail FX Brokers Not to Do Business in China

  • The regulator said Hong Kong brokers may have been targeting Mainland clients illegally
Monday, 17/06/2019 | 11:20 GMT by David Kimberley
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