HK regulator fines Changjiang Asset Management (HK) Limited $3.4 million
The SFC has fined Changjiang Asset Management (HK) Limited $3.4 million for regulatory breaches and internal control failures.
The SFC has fined Changjiang Asset Management (HK) Limited $3.4 million for regulatory breaches and internal control failures.
The SFC has banned Mr Tsang Kwong Fai, a former responsible officer and sponsor principal of RaffAello Capital Limited for two years.
The Securities and Futures Commission (SFC) has reprimanded and fined Taiping Securities (HK) Co Limited $1.3 million for internal control failings.
The Securities and Futures Commission (SFC) has issued a restriction notice to Global Group Securities Limited (GGSL) to preserve client assets.
The SFC has banned Mr Xie Yangxiong, a director of Wansom Securities (Hong Kong) Limited (WSL), from the industry for life.
The SFC today released the Consultation Conclusions on the Proposed Regulatory Requirements for Virtual Asset Trading Platform Operators.
The SFC has fined China On Securities Limited $6 million over its failures as the placing agent in a share placement between 25 November and 6 December 2019.
The SFC has banned Peter Law Chi Kin, a former licensed representative of Convoy Asset Management Limited, from re-entering the industry for 10 years.
The SFC has issued restriction notices to 10 brokers to freeze client accounts linked to a suspected social media ramp-and-dump scam.
The Securities and Futures Commission (SFC) has reprimanded and fined Ninety One Hong Kong Limited (NOHK) $1.4 million.