HK SFC warns public of unauthorised investment product offered by “ATG Algorithm Trade Group”
The Hong Kong SFC today warned the public of an unauthorised investment product involving a system to invest in gold CFDs.
Hong Kong SFC
SFC confirms extension of deadline for claims by Maxim Fund investors
featured, Hong Kong SFC, Maxim Trader
0 Comments
The Hong Kong Court of First Instance extends cut-off date for Maxim Fund investors to make claims by 30 November 2023.
HK regulator bans former responsible officer of Changjiang Corporate Finance for seven years
The SFC has banned Ivan Chan Chuk Cheung, a former responsible officer of Changjiang Corporate Finance (HK) Limited for seven years.
HK regulator fines Changjiang Asset Management (HK) Limited $3.4 million
Changjiang Asset Management, Hong Kong SFC, SFC
0 Comments
The SFC has fined Changjiang Asset Management (HK) Limited $3.4 million for regulatory breaches and internal control failures.
Hong Kong SFC bans Wansom Securities director for life
Hong Kong SFC, SFC, Wansom Securities
0 Comments
The SFC has banned Mr Xie Yangxiong, a director of Wansom Securities (Hong Kong) Limited (WSL), from the industry for life.
SFC fines Ninety One Hong Kong Limited $1.4M for unlicensed futures trading
The Securities and Futures Commission (SFC) has reprimanded and fined Ninety One Hong Kong Limited (NOHK) $1.4 million.
SFC bans Citigroup Global Markets Asia Limited’s former responsible officer Philip John Shaw
Hong Kong’s SFC bans Citigroup Global Markets Asia Limited’s former responsible officer Philip John Shaw for 10 years.
Hong Kong SFC bans former rep of Convoy Asset Management
Convoy Asset Management Limited, Hong Kong SFC, stock manipulation
0 Comments
The SFC has banned Wong Kwun Shing, a former licensed representative of Convoy Asset Management Limited, from re-entering the industry for life.
Hong Kong’s SFC launches consultation on regulation of virtual asset trading platforms
cryptocurrency regulation, featured, Hong Kong SFC, virtual assets
0 Comments
Hong Kong’s SFC today launched a consultation on the proposed requirements for operators of virtual asset trading platforms.
HK regulator concludes consultation on position limit regime
The Hong Kong SFC has decided to proceed with some of the proposals to better align the position limit regime with its regulatory policies.
