HK regulator bans former Associate Director of UBS
The Securities and Futures Commission (SFC) has banned Mr Suen Kin-wing, a former Associate Director of UBS, from re-entering the industry for life.
SFC
SFC seeks court order to freeze $62.5M in assets in ramp-and-dump case
Hong Kong’s Securities and Futures Commission (SFC) has applied for an order from the Court of First Instance to freeze assets intended for compensation.
SFC revokes licence of Nerico Brothers
The Securities and Futures Commission (SFC) of Hong Kong has revoked the licence of Nerico Brothers Limited (NBL).
HK regulator imposes $23.8M fine on Deutsche Bank for regulatory breaches
The Securities and Futures Commission (SFC) has reprimanded and fined Deutsche Bank $23.8 million for various regulatory breaches.
HK regulator fines HSBC $4.2M for disclosure failures in research reports
Hong Kong’s Securities and Futures Commission (SFC) has reprimanded and fined HSBC $4.2 million.
HK Securities and Futures Commission warns of impersonation scams
Hong Kong’s Securities and Futures Commission (SFC) today issued a warning to the public regarding impersonation scams.
HK regulator bans Kylin International director for 12 months
Hong Kong’s Securities and Futures Commission (SFC) has banned Ms Zhu Hong, a director of Kylin International (HK) Co., Limited.
HK regulators issue statement on stablecoin-related market movements
The SFC and the Hong Kong Monetary Authority (HKMA) today issued a joint statement on recent market movements in relation to stablecoins.
HK regulator obtains six-year disqualification order against former exec director of Zhongda
The SFC has obtained a disqualification order in the Court of First Instance against Zhang Yuqing, the former vice-chairman and executive director of Zhongda.
Administrators distribute $19M of assets to clients of Hong Kong Wan Kiu Investment Company
Administrators had distributed $19 million worth of assets this month as compensation to affected clients of Hong Kong Wan Kiu Investment Company.
