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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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Regulation
Hong Kong's SFC Fines, Bans Ex-CGIS Director For Insider Trading
The SFC wants to send a strong message to deter others from committing similar offenses, the regulator said.
Thursday, 16/05/2019 | 21:49 GMT
by
Aziz Abdel-Qader
Execution
Nine Masts Capital Fined in Hong Kong for Naked Short Selling
Naked shorting refers to selling shares that were were not available for trading or confirmed to exist.
Thursday, 18/04/2019 | 20:16 GMT
by
Aziz Abdel-Qader
Regulation
Hong Kong’s Regulator Warns Against Huanying International
Huanying International offers its FX services through a separated brand called Circleforex.
Friday, 12/04/2019 | 19:34 GMT
by
Aziz Abdel-Qader
News
SFC Issues Warning Against Investing in STOs
STOs should comply with the existing securities laws in Hong Kong.
Thursday, 28/03/2019 | 13:03 GMT
by
Arnab Shome
Regulation
SFC CEO: Asset Managers Must Clarify How They Look at ESG
Ashley Alder's announcement is indicative of wider regulatory moves to bolster environmentally friendly investment
Friday, 22/03/2019 | 14:07 GMT
by
David Kimberley
Regulation
Bank of China Subsidiary Fined HKD 10 Million by SFC
BOCI Securities breached a number of regulations related to the sale of investment products
Monday, 18/03/2019 | 10:47 GMT
by
David Kimberley
Regulation
SFC Fines UBS $48 Million, Suspends HK Subsidiary License
Standard Chartered was also fined, as both companies failed to meet compliance standards surround IPO sponsorship
Thursday, 14/03/2019 | 12:28 GMT
by
David Kimberley
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Regulation
SFC Suspends License of Ex-China Merchants Securities Banker
The Hong Kong regulator says that Wu Yinong failed to meet compliance standards relating to a 2009 IPO
Wednesday, 27/02/2019 | 14:49 GMT
by
David Kimberley
Regulation
SFC Increases No. of Regulated Corporations by 10 percent in 2018
The Hong Kong regulator also issued fines totalling $290,000
Friday, 22/02/2019 | 11:37 GMT
by
David Kimberley
Regulation
SFC Remains Vigilant with Scams, Flags Redsolarcapital.Com
According to the warning, www.redsolarcapital.com, is a “suspicious website”.
Wednesday, 20/02/2019 | 08:54 GMT
by
Celeste Skinner
Regulation
SFC Fines Guosen Securities HK$15.2m for Violating AML rules
The Hong Kong regulator says the broker took HK$2.3 billion in suspicious deposits
Monday, 18/02/2019 | 10:04 GMT
by
David Kimberley
Regulation
SFC Issues Further Notices to Brokers for Client Misconduct
The three brokers have been issued the restriction notices as some of their clients are suspected of market misconduct.
Friday, 15/02/2019 | 09:52 GMT
by
Celeste Skinner
Exchanges
SFC Issues Consultation Paper for Paperless Securities Market
The consultation paper was launched in collaboration with HKEX and the FSR.
Monday, 28/01/2019 | 11:12 GMT
by
Celeste Skinner
Regulation
Hong Kong SFC Says Yingda Securities Likely Tricking Investors
The firm has been lying about having an SFC license to broker futures contracts
Friday, 25/01/2019 | 12:09 GMT
by
David Kimberley
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Brokers
SFC Issues Restriction Notices to Brokers for Client Misconduct
Clients from three brokers are suspected by the SFC of market misconduct.
Friday, 04/01/2019 | 10:13 GMT
by
Celeste Skinner
Regulation
Ardon Maroon Fined in Hong Kong for Wash Trades
In a wash trade, the trader buys and sells the same asset without recording the trade on the exchange.
Thursday, 27/12/2018 | 19:02 GMT
by
Aziz Abdel-Qader
Regulation
Hong Kong Court Orders Boiler Room Operators to Compensate Victims
$600,000 held by the scammers in various bank accounts have been seized.
Monday, 24/12/2018 | 11:36 GMT
by
Arnab Shome
Regulation
SFC to Implement Crypto Regulations, Clamps Down on ICOs
Tokens will have to have been in existence for 12 months before an ICO can be launchedץ
Monday, 17/12/2018 | 10:17 GMT
by
David Kimberley
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