featured, SFC, Shanxi Securities International
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The Securities and Futures Commission (SFC) of Hong Kong has suspended the licence of Mr Tang Wai Choi.
featured, SFC, share manipulation
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The Court of First Instance has granted an interim injunction order against 12 suspected manipulators of shares of Smartac International Holdings Limited.
The SFC of Hong Kong has reprimanded and fined UBS AG $8 million for deficiencies in its internal systems and controls.
AMTD, featured, SFC
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The Hong Kong Court of First Instance has ordered AMTD Global Markets Limited to produce records and pay a fine.
The SFC has suspended Mr Joey Lo Wai Hon, a former responsible officer of MTF Securities Limited, for four months.
featured, ramp and dump, SFC
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The SFC of Hong Kong has applied for an interim order from the Court of First Instance to freeze assets intended for compensation to affected investors.
featured, Roofer Securities, SFC
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The Securities and Futures Commission (SFC) of Hong Kong has reprimanded and fined Roofer Securities Limited $2.1 million for regulatory breaches.
Hong Kong’s SFC seeks court order to freeze assets up to $219 million for investor compensation in suspected manipulation of KNT shares.
Citigroup Global Markets, featured, SFC
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The SFC has banned Richard Charles Heyes, a former responsible officer of Citigroup Global Markets Asia Limited, from re-entering the industry for five years.
The SFC has applied for an order to freeze assets intended for compensation to affected investors in an alleged market manipulation case.
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