The Hong Kong Securities and Futures Commission (SFC) informed that it has reprimanded China Merchants Securities (HK) Co., Limited (China Merchants). The regulator has also fined the company $5 million …
Tag: SFC fines
The Hong Kong Securities and Futures Commission (SFC) announced that it has fined the company Nine Masts Capital Limited $1.2 million for failures relating to the short selling of Yuzhou …
The Hong Kong Securities and Futures Commission (SFC) has announced that it has banned Ms Fonia Kwok Lai Kwan from re-entering the industry for 12 months from 25 August 2018 …
The Hong Kong Securities and Futures Commission (SFC) has just announced that it has reprimanded and fined HPI Forex Limited (HPI) $2 million for mis-handling client money. The SFC’s disciplinary …
The Hong Kong Securities and Futures Commission (SFC) has just announced that it has reprimanded and fined Citigroup Global Markets Asia Limited (CGMAL) $4 million over CGMAL’s regulatory breaches in …
The Hong Kong Securities and Futures Commission (SFC) has just announced that it has reprimanded and fined CCB International Capital Limited (CCBIC) $24 million for failing to discharge its duties …
The Eastern Magistrates’ Court has announced that it has today convicted DBA Telecommunication (Asia) Holdings Limited (DBA) after it pleaded guilty to making a false or misleading statement in a …
The Hong Kong Securities and Futures Commission (SFC) announced that it has reprimanded Mr Lau Ki Fung, a former account executive of KGI Asia Limited (KGI), and fined him $80,000 …
The Hong Kong Securities and Futures Commission (SFC) has informed that it has reprimanded and fined Hang Seng Investment Management Limited (HSIM) $3 million for its failure to comply with …
The Hong Kong Securities and Futures Commission (SFC) announced that it has publicly reprimanded and fined Noah Holdings (Hong Kong) Limited (Noah HK) HK$5 million over Noah HK’s internal system …
