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SFC

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SFC bans Individual for 10 years

02/11/2016(0)
The Securities and Futures Commission (SFC) has prohibited Mr Lawrence Lai, a former representative of UOB Kay Hian (Hong Kong) Limited and UOB Kay Hian Futures (Hong Kong) Limited ... Read More
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SFC reprimands and fines two JP Morgan entities HK$5.6 million for regulatory breaches

20/10/2016(0)
The Securities and Futures Commission (SFC) has reprimanded J.P. Morgan Securities (Asia Pacific) Limited (JPMSAP) and JPMorgan Chase Bank, National Association (JPMCB), and fined them $3 million and $2.6 ... Read More
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SFC reprimands and fines FXCM Asia Limited HK$4 million

19/10/2016(0)
The Securities and Futures Commission (SFC) has reprimanded and fined FXCM Asia Limited (HK FXCM) (now known as Rakuten Securities Hong Kong Limited) HK$4 million for regulatory breaches in ... Read More
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SFC commences cybersecurity review on brokers’ internet and mobile trading systems

13/10/2016(0)
The Securities and Futures Commission (SFC) has launched a review to assess the cybersecurity preparedness, compliance and resilience of brokers’ internet and mobile trading systems (Note 1). The review ... Read More
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SFC reprimands and fines HSBC $2.5 million for regulatory breaches

14/09/2016(0)
The Securities and Futures Commission (SFC) has reprimanded and fined The Hongkong and Shanghai Banking Corporation Limited (HSBC) $2.5 million for regulatory breaches and internal control failings related to ... Read More
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SFC Hong Kong warns for Strauss Asset Management

08/09/2016(0)
The Securities and Futures Commission (SFC) Hong Kong, has issued today a warning to inform investors and public for an unlicensed entity with the name Strauss Asset Management. The SFC Hong Kong ... Read More
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SFC bans former employees of HSBC

07/09/2016(0)
The Securities and Futures Commission (SFC) has banned Ms Chau Hang Yu and Mr Steve Chow Chun Yin, both former employees of The Hongkong and Shanghai Banking Corporation Limited ... Read More
LCH.Clearnet

LCH receives regulatory approvals in Hong Kong

01/09/2016(0)
Hong Kong Securities and Futures Commission grants LCH designated CCP status and authorisation as an Automated Trading Services provider Enables firms subject to Hong Kong clearing mandate to comply ... Read More
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SFC reprimands and fines BNP Paribas Wealth Management $4 million

31/08/2016(0)
The Securities and Futures Commission (SFC) has reprimanded and fined BNP Paribas Wealth Management (BNPPWM) $4 million for overcharging its clients between 1 January 2011 and 31 December 2013 ... Read More
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SFC reprimands and fines Morgan Stanley

25/08/2016(0)
The Securities and Futures Commission (SFC) has resolved its concerns with Morgan Stanley Hong Kong Securities Limited (MSHK) over its internal control failures. Under the resolution, the SFC reprimanded ... Read More
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