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SFC Disciplines Nomura Hong Kong to the Tune of HK$4.5 Million
- The firm has been publicly reprimanded and fined for its inadequate reporting of a trader’s misconduct to the Hong Kong watchdog.
Thursday, 30/07/2015 | 10:19 GMT by
Andy Traveller
Hong Kong and Chinese Financial Regulators Sign MoU to Bridge Their Stock Exchanges
- The Securities and Futures Commission of Hong Kong and the China Securities Regulatory Commission are aiming to establish mutual access between Shanghai and Hong Kong stock markets through signing an MoU.
Saturday, 18/10/2014 | 14:40 GMT by
Victor Golovtchenko
Last Minute Misconduct Complaint Filed against Chinese Financial Giant Citic
- Citic, a leading Chinese state-owned consortium of firms will face a legal battle against Hong Kong’s financial watchdog. The regulator claims Citic misled investors which resulted in major financial losses.
Saturday, 13/09/2014 | 11:46 GMT by
Adil Siddiqui
Hong Kong Listed Broker Gets Monetary Penalty for Misleading Advertisement
- Hong Kong regulated broker, Bright Smart Securities fined for publishing advertisement with incorrect information. The penalty was issued by the financial watchdog, the Securities and Futures Commission.
Tuesday, 29/07/2014 | 19:19 GMT by
Adil Siddiqui
Hong Kong Financial Regulator Slams RBS for Internal Control Failures
- The Securities and Futures Commission, Hong Kong’s main financial watchdog, issued a financial penalty to global banking giant, RBS. The regulator issued a reprimand and fined the bank $750,000 for internal control failures.
Tuesday, 22/04/2014 | 20:57 GMT by
Adil Siddiqui
Hong Kong's Regulator SFC Warns Against A Cantor Fitzgerald Imposter Website
- The far east appears to be one of the main areas which are targeted by imposter websites which are using a well established name to conceal from its potential victims the true nature of their business.
Tuesday, 08/04/2014 | 15:04 GMT by
Victor Golovtchenko
SFC Alerts of 'Universe Citizen Limited' FXCitizen.com as Unlicensed in Hong Kong
- The Securities and Futures Commission (SFC) of Hong Kong (HK) has added this website and a related entity to its Alert list, as it thought the the firm isn't licensed in HK after it may have targeted HK residents.
Wednesday, 02/04/2014 | 09:05 GMT by
Steven Hatzakis
Exclusive: Colombian Regulator Temporarily Suspends IronFX Operations in the Country
- IronFX, a provider of fx services, has been accused of operating and promoting its products without proper authorization in Columbia, raising allegations from the Financial Supervisory Authority of Columbia.
Friday, 07/03/2014 | 09:27 GMT by
Jeff Patterson
Hong Kong Regulator Selects Markit for Compliance - Just in Time for New Rules
- Members of the Asia Securities Industry and Financial Markets Association have chosen Markit’s compliance solutions, counterparty manager. The move comes prior to new regulations coming in place from the 1st of January 2014.
Friday, 29/11/2013 | 13:24 GMT by
Adil Siddiqui
Commodities Bubble Bursts as Hong Kong Mercantile Exchange Calls it A Day
- Hong Kong's premier commodity exchange withdraws its license as an Authorized Trading System as market conditions and low volumes make it difficult to operate in an already congested market place.
Friday, 24/05/2013 | 10:00 GMT by
Adil Siddiqui
Hong Kong Hedge Fund Industry Picks up Pieces for Worlds Rich Club
Tuesday, 02/04/2013 | 00:57 GMT by
Adil Siddiqui
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