The Securities and Futures Commission (SFC) has revoked the licence of Mr Ernest Chan Tsz Kin, a former responsible officer (RO) of Keptain Securities and Asset Management.
The Securities and Futures Commission (SFC) of Hong Kong has issued a restriction notice to Futu Securities International (Hong Kong) Limited.
The Securities and Futures Commission (SFC) of Hong Kong has reprimanded and fined Luk Fook Securities (HK) Limited (LFSHK) $2.1 million.
The Securities and Futures Commission (SFC) of Hong Kong has reprimanded and fined Bright Smart Securities International (H.K.) Limited (BSSIHK) $2.8 million.
The Securities and Futures Commission (SFC) of Hong Kong has reprimanded and fined Victory Securities Company Limited $1.7 million for regulatory breaches.
The SFC today issued a circular requiring internet brokers and virtual asset trading platform operators (VATPs) to adopt phishing-resistant authentication methods.
The SFC has suspended the licence of Mr Wong Tim Hi (also known as Timmy Wong), a former licensed representative of Yuanta Securities (Hong Kong) Company Limited.
Hong Kong’s Court of First Instance granted the Securities and Futures Commission (SFC) a worldwide injunction over the assets of Mr Lo Kai Bong.
The West Kowloon Magistrates’ Court today sentenced movie producer Mr Wong Pak Ming to five months of imprisonment, following his conviction of insider dealing.
The Securities and Futures Commission (SFC) of Hong Kong has reprimanded and fined XHK Limited $2.5 million for regulatory failures.
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