featured, KCG Securities Asia, SFC
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The Securities and Futures Commission (SFC) of Hong Kong has revoked the licence of Mr Mui Chok Wah and its approval of him.
featured, SFC, Sino-Rich
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The Securities and Futures Commission (SFC) of Hong Kong has reprimanded and fined Sino-Rich Securities & Futures Limited $2 million.
Hang Seng Index, SFC
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The position limits for the futures and options contracts of Hang Seng Index, Hang Seng China Enterprises Index and Hang Seng TECH Index will be increased by 50%, 108% and 43%.
featured, IBKR, Interactive Brokers, SFC
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The Securities and Futures Commission (SFC) has reprimanded and fined Interactive Brokers Hong Kong Limited (IBHK) HKD $4.2 million.
The disciplinary action follows the SFC’s sanctions against CSC for its failures in complying with AML/CFT and other regulatory requirements.
The SFC welcomes the enactment of all necessary legislation to pave the way for the implementation of the uncertificated securities market initiative.
Enlighten Securities Limited, featured, SFC
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SFC reprimands and fines Enlighten Securities Limited $5 million and suspends its responsible officer for internal control failures.
featured, finfluencer, Franky Wong, SFC
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The Securities and Futures Commission (SFC) has suspended Mr Wong Ming Chung, a finfluencer known as Franky Wong.
The SFC of Hong Kong has prohibited Steven Wong Yung from re-entering the industry for 14 months.
The Securities and Futures Commission (SFC) of Hong Kong has commenced legal proceedings in the Court of First Instance.
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