Kong Kong’s Securities and Futures Commission has begun legal proceedings against former and current directors of First China Financial Network Holdings and is seeking to have the directors disqualified.
The Securities and Futures Commission has begun criminal proceedings against Pacific Sun Advisors and its director Andrew Pieter Mantel.
A HK$4m ($520,000, 420,000) fine has been imposed on RBC Investment Management by the Securities and Futures Commission in Hong Kong in relation to investment advice provided by the firm on non-SFC authorized funds.
The Hong Kong regulator today banned a former private banker at Citigroup Global Markets Asia from the financial services industry for ten years, for operating a ponzi scheme.
Hong Kong’s Securities and Futures Commission (SFC) has tightened its oversight of risk management and strategy planning with the creation of a centralised unit.
Hong Kongs Securities and Futures Commission has taken action against two men for misconduct in relation to the trading of shares in Metallurgical Corporation of China.
A court in Hong Kong has overturned a brokers conviction for market manipulation.
A new set of guidelines on anti-money laundering and counter-terrorist financing has been published by the Securities and Futures Commission in Hong Kong.
The Securities and Futures Commission has fined a former broker at Fulbright Securities Limited HK$50,000, and suspended the licence of a CITIC Securities Brokerage supervisor.
The European Securities and Markets Authority has elected Martin Wheatley, a senior figure at the UKs Financial Services Authority, to its management board.
Fidelity Worldwide Investment has been publicly criticised by the Hong Kong regulator for failing to disclose a large position it held in Little Sheep, a company which was subject to a takeover.
A person who purported to be the founder and chief executive of a licensed corporate advisory company in Hong Kong has been convicted by a local court and fined.
