HK regulator fines Swiss-Asia Asset Management $3 million
The SFC has fined Swiss-Asia Asset Management (HK) Limited $3 million for internal control failings and regulatory breaches.
The SFC has fined Swiss-Asia Asset Management (HK) Limited $3 million for internal control failings and regulatory breaches.
The SFC has banned Tang Shiyi, a former licensed representative of China Galaxy International Securities (Hong Kong) Co, for 10 months.
The SFC has fined Asia Research & Capital Management Limited $1.75 million for non-compliance with the EU’s short selling reporting requirements.
Thirteen suspects were charged following a joint operation of the SFC and the Hong Kong Police against a ramp-and-dump syndicate.
The SFC has commenced proceedings in the Market Misconduct Tribunal against Jonathan Dominic Iu Wai Ching, a responsible officer of Tarascon.
The SFC has banned Chan Ka Hey, a former relevant individual of Standard Chartered Bank (Hong Kong) Limited, for six months.
Hong Kong’s SFC has fined Rifa Futures Limited $9 million for failures in complying with AML/CFT and other regulatory requirements.
The SFC has fined CES Capital International (Hong Kong) Co., Limited $3.2 million over its failure to discharge its duties as an investment manager.
Maxim Capital and Maxim Trader have solicited over 260 investors to invest more than $170 million in investment schemes since 2013.
The Securities and Futures Commission (SFC) has banned Ho Pak Hay, a former representative of KGI Futures for life.