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Securities and Futures Commission (SFC)

onestopbrokers-Regulators

Study: Penalties Levied by Financial Watchdogs Spiked in 2014

02/07/2015(0)
Financial regulators in the United States, United Kingdom, and Hong Kong have decreased their agency expenditures but increased the penalties they’ve levied, according to a new report by regulatory, ... Read More
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SFC reprimands and fines BNP Paribas Securities (Asia) Limited $11 million

02/06/2015(0)
The Securities and Futures Commission (SFC) has reprimanded and fined BNP Paribas Securities (Asia) Limited (BNP) a total of $11 million for its failures to report its direct business ... Read More
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Joint Announcement of China Securities Regulatory Commission and Securities and Futures Commission

25/05/2015(0)
To deepen Mainland-Hong Kong financial cooperation and promote the joint development of the Mainland and Hong Kong capital markets, the China Securities Regulatory Commission (CSRC) and the Securities and ... Read More
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Intermediaries reminded full compliance with Know Your Client and account opening procedures

13/05/2015(0)
The Securities and Futures Commission (SFC) today issued a Circular reminding intermediaries on the importance of appropriate account opening procedures for investors in and outside Hong Kong in order ... Read More
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SFC recovers $190 million for investors of collapsed hedge fund

07/05/2015(0)
The Securities and Futures Commission (SFC) today resolved proceedings involving the Descartes Athena Fund SPC (the Athena Fund), paving the way for about 340 overseas investors allegedly defrauded by ... Read More
SFC - Hong Kong

SFC reprimands and fines Merrill Lynch Far East Limited $2 million for regulatory breaches

02/04/2015(0)
The Securities and Futures Commission (SFC) has reprimanded and fined Merrill Lynch Far East Limited (Merrill Lynch Far East) $2 million for regulatory breaches and internal control failings relating to ... Read More
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