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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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Regulation
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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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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Regulation
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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Regulation
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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Regulation
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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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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Regulation
Hong Kong’s SFC Warns Against Daikyo Brokerage
2016-07-04T13:41:52.000+02:00
Daikyo Brokerage is the latest entity to make it onto the SFC's Alert List.
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Regulation
Hong Kong's SFC Adds Three More Unlicenced Entities to its Alert List
2016-06-30T17:05:25.000+02:00
The SFC has warned about three financial services firms soliciting their services claiming to be based in Hong Kong.
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SFC Issues Warnings about FXGlobal1 and Wing Fung Financial Group
2016-06-29T12:32:06.000+02:00
Hong Kong's SFC has warned against two further brokers which join the watchdog's alert list.
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Hong Kong’s SFC Bans Former Wing Lung Bank Employee Over $25.8m Fraud
2016-06-27T13:29:18.000+02:00
Liu King Yee has been banned for life by the SFC after three Wing Lung Bank customers suffered losses of over $25.8 million.
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Regulation
Securities and Futures Commission of HK Net Profit Rises 62% for 2015-16
2016-06-22T08:19:27.000+02:00
Hong Kong's SFC released its latest annual report today for its 2015-16 year.
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Regulation
SFC Fines Schroder Investment Management $1.8m For Disclosure Failures
2016-06-15T16:05:39.000+02:00
The SFC penalises another entity for failing to disclose all notifiable interests in Hong Kong listed shares.
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Regulation
SFC Fines State Street Global Advisors Asia $4m for Regulatory Breaches
2016-06-15T11:58:39.000+02:00
State Street Global Advisors Asia's Tracker Fund of Hong Kong was found to have violated regulatory mandates.
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Brokers
ADS Securities Adds Two Additional Regulatory Licenses from Hong Kong SFC
2016-06-08T10:12:22.000+02:00
ADS Securities adds futures and securities to its existing FX license in Hong Kong.
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Regulation
Hong Kong’s SFC Fines SynerWealth Financial Ltd $2.7 Million
2016-05-31T12:51:19.000+02:00
The SFC penalises another financial services provider for failing to report deficiencies in its trading system.
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