Hong Kong’s SFC has banned Mr Lam Ching Chiu and Mr Wong Siu Fung from re-entering the industry for five years.
Hong Kong SFC
Hong Kong’s Securities and Futures Commission (SFC) today urges the public to beware of instant text messages impersonating the SFC’s CEO.
Hong Kong’s SFC has fined Central Wealth $1 million for failures in complying with the Securities and Futures (Financial Resources) Rules.
The Hong Kong SFC today warned the public of an unauthorised investment product involving a system to invest in gold CFDs.
The Hong Kong Court of First Instance extends cut-off date for Maxim Fund investors to make claims by 30 November 2023.
The SFC has banned Ivan Chan Chuk Cheung, a former responsible officer of Changjiang Corporate Finance (HK) Limited for seven years.
The SFC has fined Changjiang Asset Management (HK) Limited $3.4 million for regulatory breaches and internal control failures.
The SFC has banned Mr Xie Yangxiong, a director of Wansom Securities (Hong Kong) Limited (WSL), from the industry for life.
The Securities and Futures Commission (SFC) has reprimanded and fined Ninety One Hong Kong Limited (NOHK) $1.4 million.
Hong Kong’s SFC bans Citigroup Global Markets Asia Limited’s former responsible officer Philip John Shaw for 10 years.