HK regulator bans former responsible officer of Changjiang Corporate Finance for seven years
The SFC has banned Ivan Chan Chuk Cheung, a former responsible officer of Changjiang Corporate Finance (HK) Limited for seven years.
The SFC has banned Ivan Chan Chuk Cheung, a former responsible officer of Changjiang Corporate Finance (HK) Limited for seven years.
The Securities and Futures Commission (SFC) of Hong Kong published today several lists of virtual asset trading platforms (VATPs) on its website.
Hong Kong’s SFC has fined Chee Tak Securities Limited $2 million for internal control deficiencies and a host of regulatory breaches.
The Hong Kong regulator made it clear that no entity in the JPEX group is licensed by the SFC.
Hong Kong’s Securities and Futures Commission (SFC) has revoked the licence of Axial Capital Management Limited.
The SFC is not investigating the six brokers, and all of them have cooperated with the SFC’s investigation.
The SFC has reprimanded and fined China Industrial Securities International Brokerage Limited $3.5 million for internal control failures.
SFC has fined Changjiang Corporate Finance (HK) Limited $20 million and has suspended its licence for serious and extensive sponsor failures.
Block trading provides an alternative trading mechanism to enable market participants to execute large-sized transactions.
The SFC has fined Changjiang Asset Management (HK) Limited $3.4 million for regulatory breaches and internal control failures.