HK regulator bans former licensed reps of Nerico Brothers for five years
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
HK regulator warns public against impersonators of SFC CEO
Hong Kong’s Securities and Futures Commission (SFC) today urges the public to beware of instant text messages impersonating the SFC’s CEO.
HK regulator imposes $1M fine on Central Wealth Securities Investment Limited
Hong Kong’s SFC has fined Central Wealth $1 million for failures in complying with the Securities and Futures (Financial Resources) Rules.
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.
SFC confirms extension of deadline for claims by Maxim Fund investors
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
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
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.
