ADVERTISEMENT
Market news, analysis & forecast powered by
Preview Mode
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
Annual Subscription
Custom Reports
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
To B, or Not to Be
Cryptocurrency Education
Fintech Education
Industry Terms
Directory
Events
Intelligence
Quarterly Intelligence Reports
Annual Subscription
Custom Reports
About Us
Contact us
Terms of Use
Privacy
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
5 Strategies That Drive Engagement for Financial Brands
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
5 Strategies That Drive Engagement for Financial Brands
Thought Leadership
ADVERTISEMENT
sfc
Search for a tag
Regulation
Hong Kong SFC Warns Against Fox Capital Partners
Hong Kong’s watchdog has included a further unlicensed entity to its warning list.
Wednesday, 10/08/2016 | 08:36 GMT
by
Finance Magnates Staff
Regulation
SFC Suspends Chan Ko Cho Ting Over Suspicious Trades
After working industry for 18 years, he should have been aware that the late orders were manipulative trades.
Wednesday, 03/08/2016 | 11:46 GMT
by
Aziz Abdel-Qader
Regulation
Hong Kong SFC Warns Against HCF Financial Service
Hong Kong’s watchdog expanded its warning list of unregulated entities to add a new brokerage firm.
Thursday, 28/07/2016 | 09:40 GMT
by
Aziz Abdel-Qader
Retail FX
SFC Warns of Suspicious Activity of Shi Fu Investment Hong Kong
Shi Fu Investment Hong Kong has been added to the SFC’s alert list under the banner of suspicious websites.
Wednesday, 20/07/2016 | 07:26 GMT
by
Finance Magnates Staff
Regulation
Hong Kong SFC Bans Chan Hau Wing Over Unauthorized Trades
Chan was banned for a couple of years by the financial watchdog in Hong Kong after correcting wrongly placed trades.
Wednesday, 13/07/2016 | 11:30 GMT
by
Aziz Abdel-Qader
Regulation
SFC Adds CVC Groups Private Capital and Arthur-Sera Ltd to its Alert List
Hong Kong's SFC has again updated its Alert List to warn against unregulated entities offering their services.
Wednesday, 06/07/2016 | 14:17 GMT
by
Finance Magnates Staff
Regulation
SFC Adds a List of Clone Forex Broker Websites to its Alert List
Hong-Kong’s financial regulator has warned the public against clone websites engaging in unregulated activity
Tuesday, 05/07/2016 | 09:31 GMT
by
Finance Magnates Staff
ADVERTISEMENT
Regulation
Hong Kong’s SFC Warns Against Daikyo Brokerage
Daikyo Brokerage is the latest entity to make it onto the SFC's Alert List.
Monday, 04/07/2016 | 11:41 GMT
by
Finance Magnates Staff
Regulation
Hong Kong's SFC Adds Three More Unlicenced Entities to its Alert List
The SFC has warned about three financial services firms soliciting their services claiming to be based in Hong Kong.
Thursday, 30/06/2016 | 15:05 GMT
by
Finance Magnates Staff
Regulation
SFC Issues Warnings about FXGlobal1 and Wing Fung Financial Group
Hong Kong's SFC has warned against two further brokers which join the watchdog's alert list.
Wednesday, 29/06/2016 | 10:32 GMT
by
Finance Magnates Staff
Regulation
Hong Kong’s SFC Bans Former Wing Lung Bank Employee Over $25.8m Fraud
Liu King Yee has been banned for life by the SFC after three Wing Lung Bank customers suffered losses of over $25.8 million.
Monday, 27/06/2016 | 11:29 GMT
by
Finance Magnates Staff
Regulation
Securities and Futures Commission of HK Net Profit Rises 62% for 2015-16
Hong Kong's SFC released its latest annual report today for its 2015-16 year.
Wednesday, 22/06/2016 | 06:19 GMT
by
Steven Hatzakis
Regulation
SFC Fines Schroder Investment Management $1.8m For Disclosure Failures
The SFC penalises another entity for failing to disclose all notifiable interests in Hong Kong listed shares.
Wednesday, 15/06/2016 | 14:05 GMT
by
Finance Magnates Staff
Regulation
SFC Fines State Street Global Advisors Asia $4m for Regulatory Breaches
State Street Global Advisors Asia's Tracker Fund of Hong Kong was found to have violated regulatory mandates.
Wednesday, 15/06/2016 | 09:58 GMT
by
Jeff Patterson
ADVERTISEMENT
Brokers
ADS Securities Adds Two Additional Regulatory Licenses from Hong Kong SFC
ADS Securities adds futures and securities to its existing FX license in Hong Kong.
Wednesday, 08/06/2016 | 08:12 GMT
by
Steven Hatzakis
Regulation
Hong Kong’s SFC Fines SynerWealth Financial Ltd $2.7 Million
The SFC penalises another financial services provider for failing to report deficiencies in its trading system.
Tuesday, 31/05/2016 | 10:51 GMT
by
Finance Magnates Staff
Regulation
SFC Fines Hong-Kong Based Guotai Junan Securities $1.3 million
Hong Kong’s SFC imposes fine for failure to comply with its regulatory requirements regarding client identity.
Monday, 30/05/2016 | 11:45 GMT
by
Finance Magnates Staff
Regulation
FINRA and SFC Sign MoU Amid Decline for Banker's Expat Perks in Hong Kong
FINRA and SFC agree on cross-border synergy amid other trends evident in Hong Kong.
Friday, 20/05/2016 | 09:58 GMT
by
Steven Hatzakis
Executive Moves
Hong Kong SFC CEO Ashley Alder Appointed to Chair IOSCO Board
Ashley Alder was recently vice chair of IOSCO's Board and is now its chairman.
Friday, 13/05/2016 | 15:45 GMT
by
Steven Hatzakis
Regulation
Moody’s Forced to Pay $11M Over “Red Flags" Report
SFAT has affirmed the SFC’s previous decision and fined Moody’s $11 million for painting a misleading picture of Chinese companies.
Tuesday, 05/04/2016 | 12:16 GMT
by
Damian Chmiel
Executive Moves
SFC Taps Thomas Atkinson as Executive Director of Enforcement
The OSC's Thomas Atkinson will join the SFC as its Director of Enforcement.
Wednesday, 23/03/2016 | 12:13 GMT
by
Jeff Patterson
ADVERTISEMENT
Regulation
Hong Kong's SFC Fines Unicorn Securities and its Ex-Officer $3.2 Million
The local watchdog gives fraudulent company and its ex-employee a seven figure fine.
Monday, 14/03/2016 | 12:26 GMT
by
Damian Chmiel
Regulation
Hong Kong SFC Fines Yuanta Securities $4m over Undisclosed Spread Markups
Pricing disclosures and best practices continue to come under scrutiny, across asset classes traded by both retail and institutional.
Monday, 29/02/2016 | 11:35 GMT
by
Steven Hatzakis
Regulation
Hong Kong SFC Bans Trader over Directing Clients Account without POA
The Securities and Futures Commission bans Jia Zhen for 10 months over trading with a client's account without first obtaining proper consent.
Wednesday, 24/02/2016 | 09:49 GMT
by
Steven Hatzakis
Regulation
Hong Kong Regulator Reports Q3 Income Down, Lower Market Volumes
The Hong Kong Securities and Futures Commission reports for the period of October through December 2015.
Thursday, 18/02/2016 | 09:19 GMT
by
Steven Hatzakis
See more
Next
Previous
!
"
#
$
%
&
'
(
)
*
+
,
-
.
/
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
{
|
}