HK watchdog fines Mason Securities $3.6M for AML requirement breaches
Hong Kong’s SFC has imposed a fine of $3.6 million on Mason Securities Limited (MSL), formerly known as GuocoCapital Limited (GCL).
Hong Kong SFC
HK SFC, Police clamp down on $450M corporate fraud scheme
Hong Kong’s SFC and Police conduct joint operation against listed company and senior executives in $450 million corporate fraud case.
Hong Kong’s SFC to introduce investor identification
Licensed corporations and registered institutions will submit to SEHK identity document information of clients placing securities orders.
SFC warns Binance is not licensed in Hong Kong
The SFC warns that no entity in the Binance group is licensed or registered to conduct regulated activities in Hong Kong.
Canadian financial regulators sign cooperation agreement with Hong Kong SFC
The agreement extends the work of the CSA Regulatory Sandbox Initiative and of the SFC Fintech Contact Point.
HK regulator imposes $2.45M fine on Deutsche Securities Asia
The Hong Kong SFC fines Deutsche Securities Asia Limited $2.45 million over incorrect prime brokerage client statements.
Hong Kong SFC imposes $1.5M fine on Ewarton Securities Limited
Hong Kong’s SFC has reprimanded and fined Ewarton Securities Limited $1.5 million for internal control failings.
Hong Kong’s SFC accepts four license applications from virtual asset trading platforms
Hong Kong’s SFC has thus far accepted only four license applications from virtual asset trading platforms.
