The Securities and Futures Commission (SFC) welcomes the re-appointment by the Financial Secretary of Mr Albert Au Siu-cheung as a Non-Executive Director for a term of two years with ... Read More
SFC reprimands and fines iSTAR International Futures Co. Limited $3 million over anti-money laundering-related internal control failures The Securities and Futures Commission (SFC) has reprimanded iSTAR International Futures Co. ... Read More
The Securities and Futures Commission (SFC) has resolved its concerns with Merrill Lynch Far East Limited (MLFE) and Merrill Lynch (Asia Pacific) Limited (MLAP) over internal control failures. Under the ... Read More
The Securities and Futures Commission (SFC) today obtained an interim order from the Court of First Instance to freeze approximately $2.66 million in the bank accounts of Mr Heriberto ... Read More
The Securities and Futures Commission (SFC) has banned Mr Philip Leung Ming Yin, a former account executive of HSBC Broking Securities (Asia) Limited (HSBC Securities), from re-entering the industry ... Read More
The Securities and Futures Commission (SFC) has reprimanded DBS Vickers (Hong Kong) Limited (DBSVHK) and fined it $2 million for regulatory breaches and internal control failings relating to under-segregation ... Read More
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
The Securities and Futures Commission (SFC) has reprimanded Guangdong Securities Limited (GSL), now known as Sinolink Securities (Hong Kong) Company Limited (Sinolink), and fined it $3 million for failures ... Read More
The Eastern Magistrates’ Court today convicted Mr Chiang Ching Fung, former chief executive officer of Gold Root Global Investments Limited (GRG Investments), of unlicensed dealing in futures contracts in ... Read More
The Securities and Futures Commission (SFC) has reprimanded North Sea Securities Limited (North Sea) and fined it $700,000 for failing to put in place proper controls to monitor and ... Read More
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