SFC

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SFC welcomes re-appointment of Non-Executive Director

13/04/2017(0)
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
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SFC reprimands and fines iSTAR International Futures $3 million

12/04/2017(0)
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
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SFC fined in total $15 million Merrill Lynch Far East and Merrill Lynch (Asia Pacific)

27/03/2017(0)
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
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SFC obtains court orders to freeze bank accounts in suspected Pyramid and Ponzi scheme

22/03/2017(0)
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
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SFC reprimands and fines DBS Vickers (Hong Kong) Limited $2 million

16/03/2017(0)
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
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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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SFC Hong Kong fined $3 million a security brokerage company

06/03/2017(0)
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
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Former investment firm CEO convicted of unlicensed dealing

20/02/2017(0)
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
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SFC reprimands and fines North Sea Securities Limited $700,000

26/01/2017(0)
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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