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Hong Kong’s Regulator

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SFC issues further guidance on suitability obligations

27/12/2016(0)
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
SFC - Hong Kong

SFC warns on unlicensed entity Wells Fargo Global Investments (Hong Kong) Limited

10/09/2015(0)
Regulatory Commission of Hong Kong, Securities and Futures Commission (SFC), has issued a warning to inform public for an unlicensed entity with the name Wells Fargo Global Investments (Hong ... Read More
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Moody’s appeals Hong Kong regulator’s penalty for report on mainland firms

09/01/2015(0)
Moody’s Investors Service began an appeal Thursday against a decision by the Hong Kong Securities and Futures Commission to fine the company HK$23 million (roughly US$3 million) for breaching ... Read More
Broker Cyprus TopFX