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Securities and Futures Commission

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Interactive Brokers Hong Kong fined $4.5 million

15/02/2018(0)
The Securities and Futures Commission (SFC) has reprimanded and fined Interactive Brokers Hong Kong Limited (IBHK) $4.5 million after resolving concerns over IBHK’s breaches of the Code of Conduct ... Read More
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SFC reprimands and fines Credit Suisse millions for regulatory breaches

09/02/2018(0)
The Securities and Futures Commission (SFC) has resolved its concerns with Credit Suisse (Hong Kong) Limited (CSHK), Credit Suisse Securities (Hong Kong) Limited (CSSHK) and Credit Suisse AG (CSAG) ... Read More
onestopbrokers-Regulators

Financial Regulators around the world warn for unauthorized financial services firms

01/08/2017(3)
The supervisory authorities of Austria (Financial Market Authority – FMA), Belgium (Financial Services and Markets Authority – FSMA), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), Hong Kong (Securities ... Read More
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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
onestopbrokers-Regulators

Regulators release conclusions on the OTC derivatives regulatory regime

28/06/2017(0)
The Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) today published conclusions on a joint consultation paper which proposed adjusting the scope of “OTC derivative ... Read More
onestopbrokers-Regulators

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
SFC - Hong Kong

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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SFC added Apuro Forex and Apuro Holdings to its Alert list

07/03/2017(0)
The Securities and Futures Commission (SFC), Hong Kong financial regulator, has updated its “Alert List” adding Apuro Forex and Apuro Holdings Limited. SFC released the below details for the ... Read More
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The Securities and Futures Commission bans former employee of HSBC for life

13/02/2017(0)
The Securities and Futures Commission (SFC) has banned Ms Li Lee, a former employee of The Hongkong and Shanghai Banking Corporation Limited (HSBC), from re-entering the industry for life ... Read More
SFC - Hong Kong

SFC signs MoU with CFTC to enhance supervision of Cross-Border Regulated Entities

29/12/2015(0)
The Securities and Futures Commission (SFC) has entered into a memorandum of understanding (MoU) with the U.S. Commodity Futures Trading Commission (CFTC) regarding cooperation and the exchange of information ... Read More
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