HK regulator fast-tracks simple fund authorisation
Hong Kong’s Securities and Futures Commission (SFC) will expedite the processing of applications from simple investment funds.
SFC
HK regulator suspends former employee of Julius Baer for seven months
The SFC of Hong Kong has suspended Mr Singh Amit Kishan, a former employee of Bank Julius Baer & Co. Ltd, for seven months.
HK regulator fines Zheshang International Financial Holdings $2.66M for regulatory breaches
The SFC has reprimanded and fined Zheshang International Financial Holdings Co., Limited $2.66 million.
HK regulator imposes $4.95M fine on CSC Futures (HK) Limited
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Hong Kong’s Securities and Futures Commission (SFC) has reprimanded and fined CSC Futures (HK) Limited (CSC) $4.95 million.
SFC imposes $3.99M fine on Profitech Securities for regulatory breaches
The Securities and Futures Commission (SFC) of Hong Kong has reprimanded and fined Profitech Securities Limited $3.99 million.
HK regulator seeks order to protect interests of minority shareholders in LET and Summit Ascent
SFC seeks share repurchase order for independent minority shareholders of LET Group Holdings Limited and Summit Ascent Holdings Limited.
HK regulator bans former associate director of UBS
The SFC has banned Mr Charles Lam Chung Yiu, a former associate director of UBS AG, from re-entering the industry for life.
HK regulator warns against “ICE Global Professional Station”
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ICE Global Professional Station, which claims to be a digital asset trading platform, appears to impersonate Intercontinental Exchange, Inc.
Former China CITIC Bank International exec deputy general manager to disgorge $3M in gains from insider dealing
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The Tribunal found that he had engaged in insider dealing in the shares of Bloomage BioTechnology Corporation Limited.
HK watchdog warns public of suspicious crypto firm Proxinex
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The SFC warns the public that Proxinex may be engaged in virtual asset-related fraud.
