ADVERTISEMENT
News
Retail FX
Institutional FX
Fintech
Payments
Cryptocurrency
Executives
Thought Leadership
FMTV
Trending
Education
Forex Education
Cryptocurrency Education
Fintech Education
Industry Terms
Directory
Events
Intelligence
Quarterly Intelligence Reports
Buy Latest Report
Custom Reports
Market
Market News
Live Market Prices
Economic Calendar
What are you looking for?
What are you looking for?
Subscribe to our News & Services
All News
Retail FX
Institutional FX
Fintech
Payments
Cryptocurrency
Executives
Thought Leadership
FMTV
Trending
Education
Forex Education
Cryptocurrency Education
Fintech Education
Industry Terms
Directory
Events
Intelligence
Quarterly Intelligence Reports
Buy Latest Report
Custom Reports
About Us
Contact us
Terms of Use
Privacy
Market
Market News
Live Market Prices
Economic Calendar
Market News
by
Subscribe to our News & Services
FM ALL News
FM Crypto
Follow us on Twitter
Follow us on Linkedin
FM Home
>
Sfc
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Bybit Private Wealth Management Beat November Downtrend with Top
Thought Leadership
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Bybit Private Wealth Management Beat November Downtrend with Top
Thought Leadership
ADVERTISEMENT
sfc
Search for a tag
Regulation
Hong Kong’s SFC Warns of Another Clone Brokerage
2017-02-06T16:32:44.000+02:00
Hong Kong’s regulator helps keep investors informed by drawing attention to suspicious operations and unregulated entities.
M
o
n
d
a
y
,
0
6
/
0
2
/
2
0
1
7
|
1
4
:
3
2
G
M
T
by
Aziz Abdel-Qader
Regulation
SFC Bans Investment Rep for Accepting Unauthorised Order Instructions
2017-01-26T15:54:55.000+02:00
Ma Yu Lung allowed execution of trades flowing from order instructions in the trading accounts of others at SHKI Services Ltd.
T
h
u
r
s
d
a
y
,
2
6
/
0
1
/
2
0
1
7
|
1
3
:
5
4
G
M
T
by
Finance Magnates Staff
Regulation
SEC Establishes Oversight Cooperation Agreement with Hong Kong's SFC
2017-01-20T09:38:59.000+02:00
The arrangement is part of the SEC's strategy to enhance the supervision of regulated entities operating across national borders.
F
r
i
d
a
y
,
2
0
/
0
1
/
2
0
1
7
|
0
7
:
3
8
G
M
T
by
Finance Magnates Staff
Regulation
Hong Kong Regulator Adds Kimzeen Forex Management to its Alert List
2017-01-19T11:47:19.000+02:00
The SFC continues to keep investors informed of suspect operations and unregulated entities.
T
h
u
r
s
d
a
y
,
1
9
/
0
1
/
2
0
1
7
|
0
9
:
4
7
G
M
T
by
Finance Magnates Staff
ADVERTISEMENT
Regulation
SFC Sues Standard Chartered, UBS for Misconduct Over China Forestry IPO
2017-01-17T14:35:38.000+02:00
The Hong Kong regulator is seeking damages over irregularities in connection with the IPO prospectus of China Forestry.
T
u
e
s
d
a
y
,
1
7
/
0
1
/
2
0
1
7
|
1
2
:
3
5
G
M
T
by
Finance Magnates Staff
Regulation
Hong Kong’s SFC Warns of Yet Another Unlicensed Brokerage
2017-01-12T12:08:12.000+02:00
Carlson-Schmidt Securities has been added to the SFC's Alert List after a recent spate of unregulated broker activity.
T
h
u
r
s
d
a
y
,
1
2
/
0
1
/
2
0
1
7
|
1
0
:
0
8
G
M
T
by
Finance Magnates Staff
Regulation
Hong Kong SFC Warns Against Four Unlicensed Online Brokerages
2017-01-09T12:58:56.000+02:00
The SFC continues to clamp down on unlicensed firms with the sixth entity added to its Alert List in a week.
M
o
n
d
a
y
,
0
9
/
0
1
/
2
0
1
7
|
1
0
:
5
8
G
M
T
by
Finance Magnates Staff
Regulation
Hong Kong’s SFC Adds Two Further Brokerages to its Alert List
2017-01-05T14:08:29.000+02:00
The Hong Kong watchdog has red-flagged Ethtrade and Drunkenmiller Investment Services as unlicensed entities.
T
h
u
r
s
d
a
y
,
0
5
/
0
1
/
2
0
1
7
|
1
2
:
0
8
G
M
T
by
Finance Magnates Staff
ADVERTISEMENT
Regulation
SFC Bans Former Citibank Employee Cheung Kwan Po For Forgery
2017-01-05T12:36:57.000+02:00
Cheung used a photocopied client’s signature to deceive Citibank into accepting a bond application form as genuine.
T
h
u
r
s
d
a
y
,
0
5
/
0
1
/
2
0
1
7
|
1
0
:
3
6
G
M
T
by
Finance Magnates Staff
Regulation
Hong Kong's SFC Fines MIS Services $3 Million for Regulatory Breaches
2017-01-03T13:00:21.000+02:00
The firm has been penalised for falling short of its key personnel requirements.
T
u
e
s
d
a
y
,
0
3
/
0
1
/
2
0
1
7
|
1
1
:
0
0
G
M
T
by
Finance Magnates Staff
Regulation
Hong Kong Financial Watchdog Bans an Ex-HSBC Broking Forex Trader for Life
2016-12-29T15:14:31.000+02:00
HSBC Broking has already paid over $70 million to the affected clients to compensate them for their losses.
T
h
u
r
s
d
a
y
,
2
9
/
1
2
/
2
0
1
6
|
1
3
:
1
4
G
M
T
by
Avi Mizrahi
Regulation
Hong Kong’s SFC Warns Against William Paulstern
2016-12-26T16:46:14.000+02:00
Hong Kong’s regulator helps keep investors informed by drawing attention to suspicious operations and unregulated entities.
M
o
n
d
a
y
,
2
6
/
1
2
/
2
0
1
6
|
1
4
:
4
6
G
M
T
by
Aziz Abdel-Qader
ADVERTISEMENT
Regulation
SFC Freezes Brokerage's Client Account Amid Suspected Market Manipulation
2016-12-16T13:29:17.000+02:00
The Hong Kong regulator has taken action against an Interactive Brokers client's account in the interest of the public.
F
r
i
d
a
y
,
1
6
/
1
2
/
2
0
1
6
|
1
1
:
2
9
G
M
T
by
Finance Magnates Staff
Regulation
SFC Bans Phillip Securities Employee for Unauthorized Trades
2016-12-15T14:03:40.000+02:00
Poon was banned for a couple of years by the watchdog after placed discretionary trades on behalf of two clients.
T
h
u
r
s
d
a
y
,
1
5
/
1
2
/
2
0
1
6
|
1
2
:
0
3
G
M
T
by
Aziz Abdel-Qader
Regulation
SFC Bans Goodcape Securities for Breaking its IB Licence Conditions
2016-12-15T13:42:42.000+02:00
The company and its officers Tang and Chang deliberately hid their deceptive scheme and issued bogus account statements.
T
h
u
r
s
d
a
y
,
1
5
/
1
2
/
2
0
1
6
|
1
1
:
4
2
G
M
T
by
Finance Magnates Staff
Regulation
Hong Kong's SFC Warns Against VGS Virtual Currency Trading Platform
2016-12-14T13:33:36.000+02:00
The Hong Kong watchdog has added another suspicious website to its warning list.
W
e
d
n
e
s
d
a
y
,
1
4
/
1
2
/
2
0
1
6
|
1
1
:
3
3
G
M
T
by
Finance Magnates Staff
ADVERTISEMENT
Regulation
Hong Kong’s SFC Warns Against Brokerage Firm Florin Investment
2016-12-14T11:20:15.000+02:00
The wealth management firm has joined the SFC’s warning list after targeting Hong Kong investors without authorisation.
W
e
d
n
e
s
d
a
y
,
1
4
/
1
2
/
2
0
1
6
|
0
9
:
2
0
G
M
T
by
Finance Magnates Staff
Executive Moves
Trading Places: Synergy FX Gets New Head, Banks See Shuffle of Personnel
2016-12-11T10:32:19.000+02:00
Catch up on the latest moves of the previous week from across the financial services industry.
S
u
n
d
a
y
,
1
1
/
1
2
/
2
0
1
6
|
0
8
:
3
2
G
M
T
by
Jeff Patterson
Executive Moves
Hong Kong’s SFC Appoints Edward Cheng Wai-Sun as Non-Exec Director
2016-12-09T18:50:51.000+02:00
Edward Cheng Wai-Sun will begin a two-year appointment at the SFC this January.
F
r
i
d
a
y
,
0
9
/
1
2
/
2
0
1
6
|
1
6
:
5
0
G
M
T
by
Jeff Patterson
Regulation
SFC Initiates Tribunal Proceedings Over Insider Dealing in Titan Shares
2016-12-06T13:20:40.000+02:00
The watchdog is seeking orders for the offenders to repay $2.5m losses they avoided from their disposal of the shares.
T
u
e
s
d
a
y
,
0
6
/
1
2
/
2
0
1
6
|
1
1
:
2
0
G
M
T
by
Finance Magnates Staff
ADVERTISEMENT
Regulation
SFC Bans Deutsche Bank Korea Employee for Role in Market Manipulation
2016-11-17T13:57:36.000+02:00
Derek Ong was previously sentenced by a Seoul court to a five-year jail term for triggering the shares plunge.
T
h
u
r
s
d
a
y
,
1
7
/
1
1
/
2
0
1
6
|
1
1
:
5
7
G
M
T
by
Aziz Abdel-Qader
Regulation
SFC Bans UOB Hong Kong Rep For Causing Client's $50m Trading Loss
2016-11-02T12:59:06.000+02:00
Lawrence Lai has been prohibited from re-entering the industry after breaching the SFC’s code of conduct.
W
e
d
n
e
s
d
a
y
,
0
2
/
1
1
/
2
0
1
6
|
1
0
:
5
9
G
M
T
by
Finance Magnates Staff
Regulation
SFC Bans Richmond Asset Management After $5m Phuket Land Investment Fraud
2016-10-31T15:08:11.000+02:00
The firm failed to properly disclose potential conflicts of interest to its clients and routed monies into unathourised funds.
M
o
n
d
a
y
,
3
1
/
1
0
/
2
0
1
6
|
1
3
:
0
8
G
M
T
by
Finance Magnates Staff
Regulation
SFC Exposes Clone Company PHMARKETS for Using Authorised Firm Details
2016-10-26T14:28:48.000+02:00
The firm used the details of an authorised firm operating under the name Peace Town Financial Services Limited.
W
e
d
n
e
s
d
a
y
,
2
6
/
1
0
/
2
0
1
6
|
1
2
:
2
8
G
M
T
by
Aziz Abdel-Qader
ADVERTISEMENT
Regulation
Option500 Added to Hong Kong SFC's Alert List
2016-10-21T14:05:30.000+02:00
The binary options broker has joined the SFC’s warning list after targeting Hong Kong investors without permission.
F
r
i
d
a
y
,
2
1
/
1
0
/
2
0
1
6
|
1
2
:
0
5
G
M
T
by
Finance Magnates Staff
Next
Previous
ADVERTISEMENT
ADVERTISEMENT
!
"
#
$
%
&
'
(
)
*
+
,
-
.
/
0
1
2
3
4
5
6
7
8
9
:
;
<
=
>
?
@
A
B
C
D
E
F
G
H
I
J
K
L
M
N
O
P
Q
R
S
T
U
V
W
X
Y
Z
[
\
]
^
_
`
a
b
c
d
e
f
g
h
i
j
k
l
m
n
o
p
q
r
s
t
u
v
w
x
y
z
{
|
}
!
"
#
$
%
&
'
(
)
*
+
,
-
.
/
0
1
2
3
4
5
6
7
8
9
:
;
<
=
>
?
@
A
B
C
D
E
F
G
H
I
J
K
L
M
N
O
P
Q
R
S
T
U
V
W
X
Y
Z
[
\
]
^
_
`
a
b
c
d
e
f
g
h
i
j
k
l
m
n
o
p
q
r
s
t
u
v
w
x
y
z
{
|
}
