The Securities and Futures Commission (SFC) has reprimanded and fined EFG Bank AG (EFG Bank) $2 million for dealing in futures contracts without the required registration (Note 1). The ... Read More
The Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) issued a circular highlighting observations from their recent joint thematic reviews on the potential conflicts of interest ... Read More
The Securities and Futures Commission (SFC) has issued restriction notices to Caitong International Securities Co., Ltd, Pacific Foundation Securities Limited and Yuanta Securities (Hong Kong) Company Limited (the brokers), ... Read More
The Securities and Futures Commission (SFC) entered into a cooperation agreement with the Dubai Financial Services Authority (DFSA) to establish a framework for mutual assistance to keep abreast of ... Read More
The Securities and Futures Commission (SFC) has withdrawn the Restriction Notice issued to Kingsway Financial Services Group Limited (KFS) in connection with a client account that holds proceeds of ... Read More
The Securities and Futures Commission (SFC) has reprimanded and fined GMO-Z.com Forex HK Limited (GMOHK) $1.6 million for deficiencies in its order execution and slippage handling procedures, and failures ... Read More
The Securities and Futures Commission (SFC), Hong Kong financial regulator, has updated its “Alert List” adding iCoption. The Alert List is a list of entities which have come to ... Read More
The Securities and Futures Commission (SFC) today issued further guidance in the form of two circulars on the existing suitability obligations (Note 1) of licensed or registered persons when ... Read More
The Securities and Futures Commission (SFC) has reprimanded Moody’s Investors Service Hong Kong Limited (Moody’s) and fined it $11 million for various failures relating to its preparation and publication ... Read More
The Securities and Futures Commission (SFC) has fined BNP Paribas Securities (Asia) Limited (BNPP Securities Asia) $15 million for failures in relation to its dark liquidity pool trading services ... Read More
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