Saxo Capital Markets to pay $4M fine in Hong Kong for regulatory breaches
The Securities and Futures Commission (SFC) has reprimanded and fined Saxo Capital Markets HK Limited (SCMHK) $4 million.
SFC
HK regulator withdraws restriction notices to brokers to facilitate return of misappropriated funds
The SFC took the step after its investigation uncovered misappropriation of proceeds from the fundraising activities of Hua Han.
HK regulator warns against CoinCola
Hong Kong’s Securities and Futures Commission (SFC) has added CoinCola to the list of suspicious virtual asset trading platforms.
Former VP of Computershare gets prison sentence for insider dealing
The Eastern Magistrates’ Courts today sentenced Mr Choi Chun Wai, a former Vice President of Computershare to two months of imprisonment.
HK Court sentences former China All Access exec to eight months in prison for false trading
The Court sentenced Ms Wong Yuk Lan, a former Administration Controller of China All Access (Holdings) Limited, to eight months of imprisonment.
HK regulator obtains $101M asset freezing order against suspected shadow director of Teamway
The SFC has obtained an order to freeze more than $101 million in cash in the personal bank account of a suspected shadow director of Teamway.
HK watchdog reprimands and fines EFG Bank $10.85M for regulatory breaches
The Securities and Futures Commission (SFC) has reprimanded and fined EFG Bank AG $10.85 million for failures relating to product due diligence.
HK Court convicts former Computershare VP of insider dealing
The Eastern Magistrates’ Court of Hong Kong today convicted Mr Choi Chun Wai, former Vice President of Computershare, of insider dealing.
HK regulator suspends Tung Tai Securities director Loretta Lee Si Kar
Hong Kong’s Securities and Futures Commission (SFC) has suspended Ms Loretta Lee Si Kar for three months and two weeks.
HK Court orders freezing of up to $62.6M of assets of suspected manipulator of Eggriculture shares
The Court of First Instance has granted an interim injunction order against a suspected manipulator of the shares of Eggriculture Foods Limited.
