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Regulation
Hong Kong’s SFC Warns Against Dukascopy Clone, Dukes Copy LTD
2016-10-20T20:19:25.000+02:00
Dukes Copy LTD is an illegal entity in Hong Kong, posing as multi asset brokerage Dukascopy.
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Hong Kong's Watchdog Fines JPMorgan Asia Units $5.6 Million
2016-10-20T12:28:05.000+02:00
The penalties took into account JPMorgan’s cooperation in resolving the regulator’s concerns.
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Hong Kong SFC Warns Against Unlicensed Brokerage CW Associates
2016-10-06T11:49:09.000+02:00
The watchdog has warned investors against another unlicensed entity, adding the firm to its growing Alert List.
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Hong Kong SFC to Launch 'Regtech' Project to Improve Financial Data Analysis
2016-09-23T12:18:12.000+02:00
The watchdog is due to kick off a pilot fintech project next month to overhaul its data management process.
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Regulation
SFC Fines HSBC $2.5 Million for Internal Control Failures
2016-09-14T12:33:26.000+02:00
HSBC has breached the SFC’s code of conduct relating to position limits and has been fined accordingly.
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Regulation
SFC Warns Against Forex Broker Trading Banks
2016-09-12T12:27:09.000+02:00
Hong Kong's financial watchdog has warned against a further unlicensed entity soliciting its services to Hong Kong investors.
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Two Ex-HSBC Employees Jailed in Hong Kong for Sales Fraud
2016-09-07T12:45:37.000+02:00
Chau and Chow were sentenced to 12 and 18 months in prison after having been convicted of two counts of fraud.
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LCH Obtains SFC Licence as an Automated Trading Services Provider
2016-09-01T11:30:50.000+02:00
The exchange is now authorised to provide automated trading services in Hong Kong via its SwapClear and ForexClear services.
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Regulation
China Merchants International Corporation Added to SFC Alert List
2016-08-31T13:42:26.000+02:00
Hong Kong’s SFC has cautioned the public against doing business with another unregulated entity.
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Regulation
SFC Slaps $4 Million Fine on BNP Paribas Wealth Management
2016-08-31T13:08:02.000+02:00
The SFC has reprimanded and fined BNP Paribas Wealth Management for overcharging its clients.
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SFC Adds Investment Firm TCA Financial to its Alert List
2016-08-30T16:00:01.000+02:00
Hong Kong's financial watchdog has warned investors against another unlicensed entity for providing inaccurate contact details.
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Hong Kong SFC Warns Investors Against Unlicensed Entity IEA Holdings
2016-08-30T11:27:30.000+02:00
IEA Holdings is the latest company to be pulled up for soliciting its dubious services to the unsuspecting public.
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Regulation
SFC Fines Morgan Stanley HK Securities $18.5m for Internal Control Failures
2016-08-24T12:32:53.000+02:00
Hong Kong's SFC has reprimanded and fined Morgan Stanley Hong Kong Securities for a series of breaches.
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Regulation
Hong Kong SFC Suspends Ku Yuen Leung over Suspicious Trades
2016-08-23T11:54:50.000+02:00
According to the independent regulator, Ku’s misconduct has undermined the integrity of the market.
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Hong Kong’s SFC Warns Investors on OTEX World Corporation
2016-08-23T11:05:14.000+02:00
OTEX World Corporation has been red-flagged by the SFC as an unlicensed entity operating in the country.
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Hong Kong’s SFC Warns Investors on Ephraim Global
2016-08-19T12:30:27.000+02:00
Ephraim Global has made the SFC's watch list as an unlicensed entity operating in the country.
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Regulation
SFC Warns Investors Against Rosan World Investment
2016-08-11T10:24:46.000+02:00
Hong Kong’s financial watchdog adds another unregulated brokerage to its warning list.
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SFC Fines Lam Chun Yin and Yeung Chok Cheong for Share Trading Violations
2016-08-10T12:21:24.000+02:00
The pair have been fined a total of $162,830, representing the profits made by each of them from trading shares.
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Hong Kong SFC Warns Against Fox Capital Partners
2016-08-10T10:36:44.000+02:00
Hong Kong’s watchdog has included a further unlicensed entity to its warning list.
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Regulation
SFC Suspends Chan Ko Cho Ting Over Suspicious Trades
2016-08-03T13:46:23.000+02:00
After working industry for 18 years, he should have been aware that the late orders were manipulative trades.
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Regulation
Hong Kong SFC Warns Against HCF Financial Service
2016-07-28T11:40:03.000+02:00
Hong Kong’s watchdog expanded its warning list of unregulated entities to add a new brokerage firm.
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Retail FX
SFC Warns of Suspicious Activity of Shi Fu Investment Hong Kong
2016-07-20T09:26:43.000+02:00
Shi Fu Investment Hong Kong has been added to the SFC’s alert list under the banner of suspicious websites.
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Regulation
Hong Kong SFC Bans Chan Hau Wing Over Unauthorized Trades
2016-07-13T13:30:08.000+02:00
Chan was banned for a couple of years by the financial watchdog in Hong Kong after correcting wrongly placed trades.
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Regulation
SFC Adds CVC Groups Private Capital and Arthur-Sera Ltd to its Alert List
2016-07-06T16:17:46.000+02:00
Hong Kong's SFC has again updated its Alert List to warn against unregulated entities offering their services.
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Regulation
SFC Adds a List of Clone Forex Broker Websites to its Alert List
2016-07-05T11:31:19.000+02:00
Hong-Kong’s financial regulator has warned the public against clone websites engaging in unregulated activity
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