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Europe's Economic Crossroads: Recession Fears and S&P Global's
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Thought Leadership
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Executive Moves
Hong Kong’s SFC Appoints Edward Cheng Wai-Sun as Non-Exec Director
Edward Cheng Wai-Sun will begin a two-year appointment at the SFC this January.
Friday, 09/12/2016 | 16:50 GMT
by
Jeff Patterson
Regulation
SFC Initiates Tribunal Proceedings Over Insider Dealing in Titan Shares
The watchdog is seeking orders for the offenders to repay $2.5m losses they avoided from their disposal of the shares.
Tuesday, 06/12/2016 | 11:20 GMT
by
Finance Magnates Staff
Regulation
SFC Bans Deutsche Bank Korea Employee for Role in Market Manipulation
Derek Ong was previously sentenced by a Seoul court to a five-year jail term for triggering the shares plunge.
Thursday, 17/11/2016 | 11:57 GMT
by
Aziz Abdel-Qader
Regulation
SFC Bans UOB Hong Kong Rep For Causing Client's $50m Trading Loss
Lawrence Lai has been prohibited from re-entering the industry after breaching the SFC’s code of conduct.
Wednesday, 02/11/2016 | 10:59 GMT
by
Finance Magnates Staff
Regulation
SFC Bans Richmond Asset Management After $5m Phuket Land Investment Fraud
The firm failed to properly disclose potential conflicts of interest to its clients and routed monies into unathourised funds.
Monday, 31/10/2016 | 13:08 GMT
by
Finance Magnates Staff
Regulation
SFC Exposes Clone Company PHMARKETS for Using Authorised Firm Details
The firm used the details of an authorised firm operating under the name Peace Town Financial Services Limited.
Wednesday, 26/10/2016 | 12:28 GMT
by
Aziz Abdel-Qader
Regulation
Option500 Added to Hong Kong SFC's Alert List
The binary options broker has joined the SFC’s warning list after targeting Hong Kong investors without permission.
Friday, 21/10/2016 | 12:05 GMT
by
Finance Magnates Staff
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Regulation
Hong Kong’s SFC Warns Against Dukascopy Clone, Dukes Copy LTD
Dukes Copy LTD is an illegal entity in Hong Kong, posing as multi asset brokerage Dukascopy.
Thursday, 20/10/2016 | 18:19 GMT
by
Jeff Patterson
Regulation
Hong Kong's Watchdog Fines JPMorgan Asia Units $5.6 Million
The penalties took into account JPMorgan’s cooperation in resolving the regulator’s concerns.
Thursday, 20/10/2016 | 10:28 GMT
by
Aziz Abdel-Qader
Regulation
Hong Kong SFC Warns Against Unlicensed Brokerage CW Associates
The watchdog has warned investors against another unlicensed entity, adding the firm to its growing Alert List.
Thursday, 06/10/2016 | 09:49 GMT
by
Finance Magnates Staff
News
Hong Kong SFC to Launch 'Regtech' Project to Improve Financial Data Analysis
The watchdog is due to kick off a pilot fintech project next month to overhaul its data management process.
Friday, 23/09/2016 | 10:18 GMT
by
Finance Magnates Staff
Regulation
SFC Fines HSBC $2.5 Million for Internal Control Failures
HSBC has breached the SFC’s code of conduct relating to position limits and has been fined accordingly.
Wednesday, 14/09/2016 | 10:33 GMT
by
Finance Magnates Staff
Regulation
SFC Warns Against Forex Broker Trading Banks
Hong Kong's financial watchdog has warned against a further unlicensed entity soliciting its services to Hong Kong investors.
Monday, 12/09/2016 | 10:27 GMT
by
Finance Magnates Staff
Regulation
Two Ex-HSBC Employees Jailed in Hong Kong for Sales Fraud
Chau and Chow were sentenced to 12 and 18 months in prison after having been convicted of two counts of fraud.
Wednesday, 07/09/2016 | 10:45 GMT
by
Aziz Abdel-Qader
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Execution
LCH Obtains SFC Licence as an Automated Trading Services Provider
The exchange is now authorised to provide automated trading services in Hong Kong via its SwapClear and ForexClear services.
Thursday, 01/09/2016 | 09:30 GMT
by
Finance Magnates Staff
Regulation
China Merchants International Corporation Added to SFC Alert List
Hong Kong’s SFC has cautioned the public against doing business with another unregulated entity.
Wednesday, 31/08/2016 | 11:42 GMT
by
Finance Magnates Staff
Regulation
SFC Slaps $4 Million Fine on BNP Paribas Wealth Management
The SFC has reprimanded and fined BNP Paribas Wealth Management for overcharging its clients.
Wednesday, 31/08/2016 | 11:08 GMT
by
Finance Magnates Staff
Regulation
SFC Adds Investment Firm TCA Financial to its Alert List
Hong Kong's financial watchdog has warned investors against another unlicensed entity for providing inaccurate contact details.
Tuesday, 30/08/2016 | 14:00 GMT
by
Finance Magnates Staff
Regulation
Hong Kong SFC Warns Investors Against Unlicensed Entity IEA Holdings
IEA Holdings is the latest company to be pulled up for soliciting its dubious services to the unsuspecting public.
Tuesday, 30/08/2016 | 09:27 GMT
by
Finance Magnates Staff
Regulation
SFC Fines Morgan Stanley HK Securities $18.5m for Internal Control Failures
Hong Kong's SFC has reprimanded and fined Morgan Stanley Hong Kong Securities for a series of breaches.
Wednesday, 24/08/2016 | 10:32 GMT
by
Finance Magnates Staff
Regulation
Hong Kong SFC Suspends Ku Yuen Leung over Suspicious Trades
According to the independent regulator, Ku’s misconduct has undermined the integrity of the market.
Tuesday, 23/08/2016 | 09:54 GMT
by
Aziz Abdel-Qader
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Regulation
Hong Kong’s SFC Warns Investors on OTEX World Corporation
OTEX World Corporation has been red-flagged by the SFC as an unlicensed entity operating in the country.
Tuesday, 23/08/2016 | 09:05 GMT
by
Finance Magnates Staff
Regulation
Hong Kong’s SFC Warns Investors on Ephraim Global
Ephraim Global has made the SFC's watch list as an unlicensed entity operating in the country.
Friday, 19/08/2016 | 10:30 GMT
by
Jeff Patterson
Regulation
SFC Warns Investors Against Rosan World Investment
Hong Kong’s financial watchdog adds another unregulated brokerage to its warning list.
Thursday, 11/08/2016 | 08:24 GMT
by
Finance Magnates Staff
Regulation
SFC Fines Lam Chun Yin and Yeung Chok Cheong for Share Trading Violations
The pair have been fined a total of $162,830, representing the profits made by each of them from trading shares.
Wednesday, 10/08/2016 | 10:21 GMT
by
Finance Magnates Staff
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