SFC imposes $3.2M fine on CES Capital International (Hong Kong) Co., Limited
The SFC has fined CES Capital International (Hong Kong) Co., Limited $3.2 million over its failure to discharge its duties as an investment manager.
SFC
HK Court orders Maxim Capital, Maxim Trader to pay investors
Maxim Capital and Maxim Trader have solicited over 260 investors to invest more than $170 million in investment schemes since 2013.
HK regulator bans former KGI Futures rep for life
The Securities and Futures Commission (SFC) has banned Ho Pak Hay, a former representative of KGI Futures for life.
HK Court orders fraudsters behind DFRF Enterprises to compensate investors
The Court of First Instance has granted orders sought by the Hong Kong SFC against the fraudsters behind DFRF Enterprises.
HK regulator bans former China Tonghai Securities rep for 20 months
The SFC has banned Mr Poon Choi Yung, a former licensed representative of China Tonghai Securities Limited, for 20 months.
SFC fines Emperor Securities and Emperor Futures $5.4M for AML breaches
Hong Kong’s SFC has reprimanded and fined Emperor Securities and Emperor Futures $5.4 million for AML breaches.
HK Court orders insider dealers to pay $12.9M to investors
This concludes the civil proceedings commenced by the Hong Kong Securities and Futures Commission (SFC).
SFC imposes $5M fine on Zhonghui International Futures Company Limited
Hong Kong’s SFC has reprimanded and fined Zhonghui International Futures Company Limited $5 million for regulatory breaches.
HK SFC issues restriction notices for 17 trading accounts linked to social media scam
The SFC has issued restriction notices to two brokers prohibiting them from dealing with or processing certain assets held in 17 trading accounts.
HK regulator bans two former reps of Win Wong Securities
The SFC has banned two former licensed representatives of Win Wong Securities Limited from re-entering the industry.
