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SFC

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SFC reprimands and fines BNP Paribas Securities (Asia) Limited $11 million

02/06/2015(0)
The Securities and Futures Commission (SFC) has reprimanded and fined BNP Paribas Securities (Asia) Limited (BNP) a total of $11 million for its failures to report its direct business ... Read More
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Joint Announcement of China Securities Regulatory Commission and Securities and Futures Commission

25/05/2015(0)
To deepen Mainland-Hong Kong financial cooperation and promote the joint development of the Mainland and Hong Kong capital markets, the China Securities Regulatory Commission (CSRC) and the Securities and ... Read More
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Intermediaries reminded full compliance with Know Your Client and account opening procedures

13/05/2015(0)
The Securities and Futures Commission (SFC) today issued a Circular reminding intermediaries on the importance of appropriate account opening procedures for investors in and outside Hong Kong in order ... Read More
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SFC recovers $190 million for investors of collapsed hedge fund

07/05/2015(0)
The Securities and Futures Commission (SFC) today resolved proceedings involving the Descartes Athena Fund SPC (the Athena Fund), paving the way for about 340 overseas investors allegedly defrauded by ... Read More
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SFC reprimands and fines Merrill Lynch Far East Limited $2 million for regulatory breaches

02/04/2015(0)
The Securities and Futures Commission (SFC) has reprimanded and fined Merrill Lynch Far East Limited (Merrill Lynch Far East) $2 million for regulatory breaches and internal control failings relating to ... Read More
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HK Targets Tax-Friendly Policies For Asset Management

16/06/2014(0)
“As more wealth is generated in Mainland China, … Hong Kong is ideally positioned to facilitate the flow of capital from the Mainland in a controlled manner, acting ... Read More
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Pacific Sun Advisors Limited and its director convicted by SFC

12/06/2014(0)
The Securities and Futures Commission (SFC) has issued a press release informing the investors that Pacific Sun Advisors Limited (Pacific Sun) and its director Mr Andrew Pieter Mantel were ... Read More
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SFC reprimands and fines ICBC International Capital Limited and ICBC International Securities Limited

21/05/2014(0)
The Securities and Futures Commission (SFC) has reprimanded ICBC International Capital Limited (ICBCI Capital) and ICBC International Securities Limited (ICBCI Securities) (collectively ICBCI) and fined them $12.5 million respectively ... Read More
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Futures manipulator sentenced to community service

14/05/2014(0)
The Securities and Futures Commission (SFC) has issued a press release informing as follows: The Eastern Magistrates’ Court today sentenced a futures trader, Mr Ernest Fan Kwong Hung, to ... Read More
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SFC resolves concerns over Citigroup’s algorithmic trading system

14/05/2014(0)
The Securities and Futures Commission (SFC) has reprimanded Citigroup Global Markets Asia Limited (Citigroup) for its failure to ensure that certain securities orders executed through its algorithmic trading system ... Read More
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