The regulator also found that Fulbright failed to report these incidents to the SFC immediately upon discovering them. In deciding…
Read More
Hong Kong SFC introduces new electronic licensing services
The new online features include web-based licensing forms with auto-fill and skip logic features and pre-set validation rules to reduce…
Read MoreHong Kong SFC fines Credit Suisse Securities $2.1 million over breaches of electronic trading requirements
The incident was caused by a logic error in the symbol mapping programme used by Credit Suisse generating market making…
Read MoreSFC bans a former RO of CCBIC and BOCOM International for IPO sponsor failures
The SFC found that the failures committed by CCBIC and BIAL, as the sole sponsor in the listing applications of…
Read MoreHong Kong SFC bans former UBS advisor for eight months
Without approval from the settlor, Lo attached a signature from the settlor she obtained from a scanned version of a…
Read MoreThe Hong Kong SFC bans CITIC former relationship manager
TS’O gave the customers false receipts and the additional amount they paid went into his pocket. Subsequently, TS’O was convicted…
Read More
SFC brings criminal charges to Ching Lee Holdings on market manipulation of shares
Sit, Lam and Tam already appeared in court. No plea was taken and the court bail for each of them…
Read More
The US sanctions Hong Kong officials for undermining city’s autonomy
Many foreign banks reportedly started to preemptively refuse accounts of senior Hong Kong officials as early as the end of…
Read More
Huobi Asset Management secures SFC licenses for securities advisory and asset management services
Elaine Sun, the Compliance Director of Huobi Tech commented: We are delighted to get licensed and it marks a good…
Read MoreBrilliance Capital Management to pay $30K fine for unlicensed activities
The court discovered that in January 2013 BCM presented itself as a finance services company and advised on listing application,…
Read More