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.
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.
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 today launched a consultation on the proposed requirements for operators of virtual asset trading platforms.
The Hong Kong SFC has decided to proceed with some of the proposals to better align the position limit regime with its regulatory policies.
The SFC has issued a restriction notice to Bright Smart regarding a client account that holds proceeds of suspected insider dealing.
Hong Kong’s SFC has fined RBC Investment Services (Asia) Limited $7.7 million for mishandling of client assets.
SFC imposes a $3.8 million fine on China Everbright Securities (HK) Limited for breaches of anti-money laundering regulatory requirements.
The Securities and Futures Commission (SFC) has banned Ho Pak Hay, a former representative of KGI Futures for life.
The SFC has banned Mr Leung Siu Lun, a former vice president of HSBC, from re-entering the industry for life.