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Exchanges
SFC Fines Citigroup Global Markets HK$57 Million Over Listing Application
The Hong Kong regulator claims Citigroup did not perform required due diligence on a Chinese gold mining firm
Thursday, 17/05/2018 | 10:08 GMT
by
David Kimberley
Regulation
SFC Issues Bulletin Warning Against Criminal License Applications
The Hong Kong regulator also provided updates on Manager-In-Charge Regulation
Wednesday, 16/05/2018 | 09:52 GMT
by
David Kimberley
Regulation
SFC Signs on to IOSCO's Cross-Border Regulation Plans
Signatories to the EMMoU will be able to extend their regulatory reach across the globe
Friday, 11/05/2018 | 12:21 GMT
by
David Kimberley
Regulation
Hong Kong's SFC Proposes Changes to Investor Compensation Regime
A new consultation paper suggests raising the compensation limit from $150,000 to $500,000
Friday, 27/04/2018 | 11:40 GMT
by
David Kimberley
Regulation
SFC Issues $1M Fine to CN Capital Over Regulatory Breaches
Senior officers at company breached core principle of giving clients priority and avoiding conflicts of interest
Tuesday, 24/04/2018 | 21:32 GMT
by
Bogdan Kagan
Regulation
UBS Securities Asia Limited Reprimanded and Fined $4.5 Million by SFC
The SFC has responded to UBS’ failures to record transactions and client consents regarding its facilitation trading activities.
Wednesday, 21/03/2018 | 12:30 GMT
by
Finance Magnates Staff
News
Hong Kong Securities Watchdog Halts ICO of Black Cell
For the first time, the SFC names the blockchain-based company that it has taken action against.
Monday, 19/03/2018 | 13:40 GMT
by
Arnab Shome
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Regulation
SFC Restricts Interactive Brokers HK on Accounts Linked to Insider Trading
The restriction is in response to suspected insider dealing in the shares of Bloomage BioTechnology Corporation.
Friday, 09/03/2018 | 12:04 GMT
by
Finance Magnates Staff
Brokers
Exclusive: Multibank Exchange Scores Unprecedented Victory Against Hong Kong SFC
A previously issued alert against the company has been cancelled by the SFC.
Monday, 05/03/2018 | 11:07 GMT
by
Victor Golovtchenko
Regulation
SFC Reprimands, Fines Interactive Brokers Hong Kong
SFC said Interactive Brokers had been co-operative during its investigation.
Wednesday, 14/02/2018 | 22:10 GMT
by
Aziz Abdel-Qader
Regulation
SFC Fines Credit Suisse $39m for Multiple Regulatory Lapses
The bank's self reporting measures and cooperation with the SFC helped avert an even larger fine.
Thursday, 08/02/2018 | 10:10 GMT
by
Jeff Patterson
Brokers
Blackwell Global Acquires SFC Asset Management License
The company continues to expand its available services to retail and institutional clients.
Tuesday, 23/01/2018 | 12:08 GMT
by
Finance Magnates Staff
Regulation
FXCM Asia Limited Draws Additional Fine from SFC
Multiple regulatory breaches and internal accounting failures by the group prompted a $256,180 fine.
Wednesday, 13/12/2017 | 11:01 GMT
by
Jeff Patterson
Brokers
SFC Slaps Brokerage Executive with Lifetime Ban for Defrauding Clients
Before his fraudulent actions, Shing had a clean disciplinary record with the commission.
Thursday, 23/11/2017 | 21:02 GMT
by
Aziz Abdel-Qader
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Regulation
Hong Kong Fines HSBC $51m, Revokes License for Selling Lehman-Related Notes
The fine is the largest ever imposed by the SFC.
Tuesday, 21/11/2017 | 18:24 GMT
by
Aziz Abdel-Qader
Regulation
Hong Kong’s SFC Warns Against Yet Another Unauthorised Firm
The SFC routinely warns about such scams operating in Hong Kong.
Thursday, 09/11/2017 | 12:49 GMT
by
Aziz Abdel-Qader
Regulation
SFC Bans Former Citibank Employee for Unauthorized Trades
As a result of his misconduct, Citibank had to pay $22,233 to the affected client to compensate for his losses.
Tuesday, 07/11/2017 | 16:01 GMT
by
Aziz Abdel-Qader
Brokers
SFC Issues Warning Against OSG Forex for Unauthorised Activity
The SFC said that OSGForex claims to have its office in Hong Kong but the firm is not available at the stated address.
Wednesday, 04/10/2017 | 08:51 GMT
by
Colin Firth
Regulation
HK Court Convicts 2 Dealers and 1 Asset Manager for Unlicensed Services
The Hong Kong market is vigilantly supervised by its financial regulator.
Thursday, 28/09/2017 | 09:07 GMT
by
Colin Firth
Regulation
ETrade HK Fined for Unauthorized Marketing in Hong Kong
ETrade US was fined for licensing lapses by the Hong Kong regulator.
Friday, 22/09/2017 | 15:03 GMT
by
Colin Firth
Regulation
SFC Issues Warning Against 3 Financial Services Companies
The companies were operating without a license and using Hong Kong bank accounts.
Wednesday, 13/09/2017 | 11:07 GMT
by
Colin Firth
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News
Hong Kong Regulators Warn ICO Tokens May be Securities Under the Law
Unlike the regulators in mainland China, the SFC did not go the extra step and ban ICOs altogether.
Tuesday, 05/09/2017 | 10:07 GMT
by
Avi Mizrahi
News
SFC, DFSA Ink Fintech Collaboration Contract
The two authorities plan to assist one another in staying up to date with fintech developments and their applications.
Monday, 28/08/2017 | 09:34 GMT
by
Finance Magnates Staff
Regulation
SFC and Hong Kong Police Sign MoU for Increased Coordination
Increased coordination in handling financial crime will help control fraud in one of Asia's biggest financial centers.
Friday, 25/08/2017 | 14:23 GMT
by
Colin Firth
Regulation
SFC Issues Warning Against FHSG Capital Investments
The firm has been caught red handed soliciting and offering clients financial services despite being unauthorized.
Thursday, 24/08/2017 | 08:04 GMT
by
Finance Magnates Staff
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