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SFC

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QMIS Securities Limited and former responsible officer convicted of giving SFC false or misleading information

03/07/2017(0)
The Eastern Magistrates’ Court has convicted QMIS Securities Limited (QMIS) and its former responsible officer (RO), Mr Huang Kuang Cheng, of making false or misleading representations when submitting licensing ... Read More
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Forex provider restricted to carry on all activities for which it is licensed

13/06/2017(0)
The Securities and Futures Commission (SFC) today issued a Restriction Notice on IDS Forex HK Limited prohibiting the firm from carrying on all activities for which it is licensed, ... Read More
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Appointments and re-appointments to SFC Advisory Committee

20/05/2017(0)
The Securities and Futures Commission (SFC) welcomes the appointment and re- appointment by the Financial Secretary of members to the SFC Advisory Committee for two years from 1 June ... Read More
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The regulatory authorities of Hong Kong and UK sign Fintech cooperation agreement

15/05/2017(0)
The Securities and Futures Commission (SFC) today entered into a cooperation agreement with the UK Financial Conduct Authority (FCA) to foster collaboration in support of financial technology (Fintech) innovation ... Read More
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SFC consults on proposals to reduce hacking risks in internet trading

09/05/2017(0)
The Securities and Futures Commission (SFC) today launched a two-month consultation on proposals to reduce and mitigate hacking risks associated with internet trading (Note 1). The proposals incorporate new ... Read More
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Beware of unauthorised providers of financial services

08/05/2017(0)
The financial regulatory authorities of UK (Financial Conduct Authority – FCA) and Honk Kong (Securities and Futures Commission – SFC) have issued warnings to inform investors and public about ... Read More
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SFC releases report on retail futures brokers

28/04/2017(0)
The Securities and Futures Commission (SFC) today published its Report on the fact-finding exercise on retail futures brokers which aimed to understand the business profiles and major risk management ... Read More
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Joint HKMA-SFC consultation on the OTC derivatives regulatory regime

27/04/2017(0)
The Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) today issued a joint consultation on the prescription of additional markets and clearing houses, and the ... Read More
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SFC warns about Juno Markets

19/04/2017(0)
The Securities and Futures Commission (SFC), Hong Kong financial regulator, has updated its “Alert List” adding Juno Markets / Juno Markets Limited. SFC released the below details for Juno ... Read More
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