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SFC

ADS Securities

ADS Securities expands to full-service brokerage in Hong Kong

08/06/2016(0)
ADS Securities, the Abu Dhabi-based international financial services firm, today announced that it had successfully secured its Type 1 and Type 2 regulatory licenses from the Hong Kong Securities ... Read More
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SFC reprimands and fines Yuanta Securities (Hong Kong) Company Limited $4 million

29/02/2016(0)
The Securities and Futures Commission (SFC) has reprimanded and fined Yuanta Securities (Hong Kong) Company Limited (Yuanta Securities) $4 million for failing to disclose the actual execution price and ... Read More
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Regulators release conclusions on introducing mandatory clearing and expanding mandatory reporting for OTC derivatives market

09/02/2016(0)
The Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) today published conclusions to the proposals made in a joint consultation on introducing mandatory clearing and expanding mandatory ... Read More
SFC - Hong Kong

SFC reprimands and fines three JP Morgan entities a sum of $30 million for regulatory breaches

16/12/2015(0)
The Securities and Futures Commission (SFC) has reprimanded J.P. Morgan Broking (Hong Kong) Limited (JPMBHK), J.P. Morgan Securities (Asia Pacific) Limited (JPMSAP) and J.P. Morgan Securities (Far East) Limited ... Read More
SFC - Hong Kong

SFC Hong Kong warns for Binary Options provider Tooptions

29/10/2015(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 HongKong Tooptions Limited. SFC ... Read More
SFC - Hong Kong

SFC warns on unlicensed entity Wells Fargo Global Investments (Hong Kong) Limited

10/09/2015(0)
Regulatory Commission of Hong Kong, Securities and Futures Commission (SFC), has issued a warning to inform public for an unlicensed entity with the name Wells Fargo Global Investments (Hong ... Read More
SFC - Hong Kong

SFC recovers $23 million for investors from restoration orders against insider dealer Du Jun

19/08/2015(0)
Court appointed administrators, Mr John Lees and Mr Mat Ng of JLA Asia Limited, have completed distributions of restoration payments to all but three of the 297 counterparties to ... Read More
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SFC fines BNP Paribas Securities (Asia) Limited $15 million for dark liquidity pool-related failures

04/08/2015(0)
The Securities and Futures Commission (SFC) has fined BNP Paribas Securities (Asia) Limited (BNPP Securities Asia) $15 million for failures in relation to its dark liquidity pool trading services ... Read More
SFC - Hong Kong

SFC reprimands and fines Nomura International (Hong Kong) Limited HK$4.5 million for regulatory breach

30/07/2015(0)
The Securities and Futures Commission (SFC) has reprimanded and fined Nomura International (Hong Kong) Limited (Nomura Hong Kong) HK$4.5 million for failing to report significant misconduct by a former ... Read More
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Study: Penalties Levied by Financial Watchdogs Spiked in 2014

02/07/2015(0)
Financial regulators in the United States, United Kingdom, and Hong Kong have decreased their agency expenditures but increased the penalties they’ve levied, according to a new report by regulatory, ... Read More
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