SFC

SFC - Hong Kong

SFC fined millions an asset management company for regulatory failures

25/01/2017(0)
SFC reprimands and fines Value Partners $4 million The Securities and Futures Commission (SFC) has reprimanded Value Partners Limited (VPL) and Value Partners Hong Kong Limited (VPHKL) (collectively, Value ... Read More
SFC - Hong Kong

SFC bans former financial planning manager

09/01/2017(0)
The Securities and Futures Commission (SFC) has prohibited Mr Choi Siu Ki, a former financial planning manager of Dah Sing Bank Limited, from re-entering the industry for nine months ... Read More
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SFC bans a former employee of Citibank for six months

05/01/2017(0)
The Securities and Futures Commission (SFC) has banned Mr Cheung Kwan Po, a former employee of Citibank (Hong Kong) Limited (Citibank), from re-entering the industry for six months from ... Read More
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MIS Services reprimanded and fined $3 million

03/01/2017(0)
The Securities and Futures Commission (SFC) has reprimanded and fined MIS Services Limited (formerly known as Standard Chartered Investment Services Limited) (SCIS) $3 million for its failure to comply ... Read More
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SFC bans a former staff of HSBC for life

29/12/2016(0)
The Securities and Futures Commission (SFC) has banned Mr Lam Yuk Wai, a former staff of HSBC Broking Securities (Asia) Limited, HSBC Broking Futures (Asia) Limited, HSBC Broking Futures ... Read More
Blackwell Global

Blackwell Global Acquires Double SFC Licences to Offer Securities and Futures Trading Services

28/12/2016(0)
International forex and CFDs brokerage Blackwell Global announces today the acquisition of 2 new licences issued by the Security and Futures Commission (SFC; Securities Licence No. BGX296 and Futures ... Read More
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SFC regulator announced AML and fraud controls priorities

08/12/2016(0)
The Securities and Futures Commission (SFC) today relaunched its Enforcement Reporter as a biannual publication which aims to provide the market with updates on the SFC’s key enforcement priorities ... Read More
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Mandatory online submission of individual licensing applications, notifications and annual returns

29/11/2016(0)
The Securities and Futures Commission (SFC) announced today that with effect from 1 February 2017, all individual applicants and licensees will be required to submit their licensing applications, notifications ... Read More
SFC - Hong Kong

SFC bans individual for one year and fines him $150,000

21/11/2016(0)
The Securities and Futures Commission (SFC) has prohibited Mr Benedict Ku Ka Tat, a former employee of The Pride Fund Management Limited, from re-entering the industry for one year ... Read More
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Court of Final Appeal dismissed leave application of C.L. Management Services Limited and its sole owner

15/11/2016(0)
The Court of Final Appeal (CFA) has dismissed C.L. Management Services Limited (C.L. Management) and its sole owner and director Ms Clarea Au Suet Ming’s application for leave to ... Read More
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