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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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Regulation
Hong Kong’s SFC Warns of Another Clone Brokerage
Hong Kong’s regulator helps keep investors informed by drawing attention to suspicious operations and unregulated entities.
Monday, 06/02/2017 | 14:32 GMT
by
Aziz Abdel-Qader
Regulation
SFC Bans Investment Rep for Accepting Unauthorised Order Instructions
Ma Yu Lung allowed execution of trades flowing from order instructions in the trading accounts of others at SHKI Services Ltd.
Thursday, 26/01/2017 | 13:54 GMT
by
Finance Magnates Staff
Regulation
SEC Establishes Oversight Cooperation Agreement with Hong Kong's SFC
The arrangement is part of the SEC's strategy to enhance the supervision of regulated entities operating across national borders.
Friday, 20/01/2017 | 07:38 GMT
by
Finance Magnates Staff
Regulation
Hong Kong Regulator Adds Kimzeen Forex Management to its Alert List
The SFC continues to keep investors informed of suspect operations and unregulated entities.
Thursday, 19/01/2017 | 09:47 GMT
by
Finance Magnates Staff
Regulation
SFC Sues Standard Chartered, UBS for Misconduct Over China Forestry IPO
The Hong Kong regulator is seeking damages over irregularities in connection with the IPO prospectus of China Forestry.
Tuesday, 17/01/2017 | 12:35 GMT
by
Finance Magnates Staff
Regulation
Hong Kong’s SFC Warns of Yet Another Unlicensed Brokerage
Carlson-Schmidt Securities has been added to the SFC's Alert List after a recent spate of unregulated broker activity.
Thursday, 12/01/2017 | 10:08 GMT
by
Finance Magnates Staff
Regulation
Hong Kong SFC Warns Against Four Unlicensed Online Brokerages
The SFC continues to clamp down on unlicensed firms with the sixth entity added to its Alert List in a week.
Monday, 09/01/2017 | 10:58 GMT
by
Finance Magnates Staff
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Regulation
Hong Kong’s SFC Adds Two Further Brokerages to its Alert List
The Hong Kong watchdog has red-flagged Ethtrade and Drunkenmiller Investment Services as unlicensed entities.
Thursday, 05/01/2017 | 12:08 GMT
by
Finance Magnates Staff
Regulation
SFC Bans Former Citibank Employee Cheung Kwan Po For Forgery
Cheung used a photocopied client’s signature to deceive Citibank into accepting a bond application form as genuine.
Thursday, 05/01/2017 | 10:36 GMT
by
Finance Magnates Staff
Regulation
Hong Kong's SFC Fines MIS Services $3 Million for Regulatory Breaches
The firm has been penalised for falling short of its key personnel requirements.
Tuesday, 03/01/2017 | 11:00 GMT
by
Finance Magnates Staff
Regulation
Hong Kong Financial Watchdog Bans an Ex-HSBC Broking Forex Trader for Life
HSBC Broking has already paid over $70 million to the affected clients to compensate them for their losses.
Thursday, 29/12/2016 | 13:14 GMT
by
Avi Mizrahi
Regulation
Hong Kong’s SFC Warns Against William Paulstern
Hong Kong’s regulator helps keep investors informed by drawing attention to suspicious operations and unregulated entities.
Monday, 26/12/2016 | 14:46 GMT
by
Aziz Abdel-Qader
Regulation
SFC Freezes Brokerage's Client Account Amid Suspected Market Manipulation
The Hong Kong regulator has taken action against an Interactive Brokers client's account in the interest of the public.
Friday, 16/12/2016 | 11:29 GMT
by
Finance Magnates Staff
Regulation
SFC Bans Phillip Securities Employee for Unauthorized Trades
Poon was banned for a couple of years by the watchdog after placed discretionary trades on behalf of two clients.
Thursday, 15/12/2016 | 12:03 GMT
by
Aziz Abdel-Qader
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Regulation
SFC Bans Goodcape Securities for Breaking its IB Licence Conditions
The company and its officers Tang and Chang deliberately hid their deceptive scheme and issued bogus account statements.
Thursday, 15/12/2016 | 11:42 GMT
by
Finance Magnates Staff
Regulation
Hong Kong's SFC Warns Against VGS Virtual Currency Trading Platform
The Hong Kong watchdog has added another suspicious website to its warning list.
Wednesday, 14/12/2016 | 11:33 GMT
by
Finance Magnates Staff
Regulation
Hong Kong’s SFC Warns Against Brokerage Firm Florin Investment
The wealth management firm has joined the SFC’s warning list after targeting Hong Kong investors without authorisation.
Wednesday, 14/12/2016 | 09:20 GMT
by
Finance Magnates Staff
Executive Moves
Trading Places: Synergy FX Gets New Head, Banks See Shuffle of Personnel
Catch up on the latest moves of the previous week from across the financial services industry.
Sunday, 11/12/2016 | 08:32 GMT
by
Jeff Patterson
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