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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
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
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
Regulation

Hong Kong's SFC Adds IBG Capital Partners to Alert list

  • Hong Kong regulator warns public against dealing with IBG Capital Partners.
Monday, 14/08/2017 | 09:03 GMT by Colin Firth
Regulation

SFC, FCA Ink Memorandum of Understanding

  • The two regulatory authorities will collaborate to better regulate financial entities.
Thursday, 20/07/2017 | 16:59 GMT by Finance Magnates Staff
Regulation

SFC Bans Former HSBC Trader Li Bo For Eight Months

  • An SFC investigation found that Li breached its Code of Conduct, failing to properly disclose trading transactions.
Tuesday, 13/06/2017 | 11:16 GMT by Jeff Patterson
Regulation

SFC Clamps Down on IDS Forex HK Limited, Halting All Operations

  • The regulator has taken action after an investigation uncovered evidence of illegal fund-raising in South Korea.
Monday, 12/06/2017 | 14:04 GMT by Jeff Patterson
Regulation

SFC Warns Against Unregistered Chinese Financial Advisory Company

  • Ocean Star Capitals is in trouble due to its running of an unlicensed operation.
Thursday, 11/05/2017 | 11:07 GMT by Finance Magnates Staff
Regulation

SFC Fines Merrill Lynch Asian Subsidiaries $15m for Internal Control Failures

  • The SFC reprimanded a pair of Merrill Lynch subsidiaries $15m after an independent review.
Friday, 24/03/2017 | 14:38 GMT by Jeff Patterson
Regulation

Hong Kong Subsidiary of GMO Click Fined $1.6m

  • GMO Click’s GMO-Z.com brand mishandled the execution and slippage of 17 clients.
Thursday, 09/02/2017 | 10:26 GMT by Victor Golovtchenko
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