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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
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
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
Regulation

Hong Kong’s SFC Warns Against Fake NFA-Regulated FX Broker

  • HKJHFX operates in Hong Kong but falsely claims to be regulated by the US National Futures Association (NFA).
Thursday, 13/12/2018 | 15:34 GMT by Aziz Abdel-Qader
Regulation

SFC to Implement Further Requirements for OTC Derivatives

  • The new requirements aim to reduce risk, especially in regards to affiliates and connected persons.
Wednesday, 12/12/2018 | 10:59 GMT by Celeste Skinner
Regulation

New Zealand’s FMA Blacklists Trading Provider NewSolid

  • According to the warning, the firm does not have the authorisation to operate in the country.
Tuesday, 11/12/2018 | 10:05 GMT by Celeste Skinner
Regulation

SFC Survey Reveals Uptick in Investment Products Sold

  • 34 per cent more non-exchange traded investment products were sold during the year ended March 31, 2018.
Friday, 07/12/2018 | 15:02 GMT by Celeste Skinner
News

SFC of Hong Kong Announces Plan to Revamp Cryptocurrency Laws

  • The SFC said it hopes "to encourage the responsible use of new technologies and also provide investors with more choices and better outcomes."
Thursday, 01/11/2018 | 11:09 GMT by Simon Golstein
Regulation

Hong Kong's SFC Announces Changes to Securities and Futures Rules

  • One of the key changes is relaxing the treatment of foreign currencies that are subject to exchange control.
Friday, 19/10/2018 | 10:16 GMT by Celeste Skinner
Regulation

Hong Kong’s SFC Warns Against Clone of Merrill Lynch

  • Merrill Lynch is not the first banking giant to have clones in Hong Kong.
Thursday, 18/10/2018 | 14:30 GMT by Aziz Abdel-Qader
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