Advertise With Us
Sign up for our Newsletter
Join Our Directory
Open an Account

Securities and Futures Commission (SFC)

penalty image

EFG Bank AG fined $2 million

12/01/2018(0)
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
SFC-logo-office

Joint reviews by HKMA and SFC on managing conflicts of interest in financial groups

28/11/2017(0)
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
SFC-logo-office

SFC issues restriction notices to three brokers to freeze client accounts linked to suspected market manipulation

31/08/2017(0)
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
Fintech

Hong Kong and Dubai financial regulators sign Fintech cooperation agreement

29/08/2017(0)
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
SFC-logo-office

SFC withdraws Restriction Notice issued to a broker in connection with client’s suspected insider dealing

14/02/2017(0)
The Securities and Futures Commission (SFC) has withdrawn the Restriction Notice issued to Kingsway Financial Services Group Limited (KFS) in connection with a client account that holds proceeds of ...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
SFC - Hong Kong

SFC reprimands and fines GMO-Z.com Forex HK Limited $1.6 million

09/02/2017(1)
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
SFC-logo-office

SFC added iCoption on its Alert List

10/01/2017(0)
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
SFC-logo-office

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-logo-office

SFAT affirms SFC decision to reprimand and fine Moody’s over Red Flags Report

06/04/2016(0)
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
SFC-logo-office

SFC fines BNP Paribas Securities (Asia) Limited $15 million for dark liquidity pool-related failures

04/08/2015(0)
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
Broker Cyprus TopFX