SFC concludes insider trading action
Hong Kongs Securities and Futures Commission has concluded proceedings against Steve Luk Ka Cheung.
SFC
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SFC rolls out latest phase of disclosure regime
The Securities and Futures Commission has launched the latest phase of its disclosure regime.
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SFC issues arrest warrant for lawyer
An arrest warrant has been issued for a lawyer working in Hong Kong.
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Citigroup reportedly under SFC investigation
Citigroup is reportedly being investigated by HKs SFC after one of its advisers fled to India.
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SFC fines Sun Hung Kai Investment Services HK$4.5m
SHKIS reprimanded for failings related to sale of HK$10.5m of Lehman Brothers equity-linked notes.
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HK watchdogs expose poor IFA sales practices
Weaknesses in IFA selling practices revealed in mystery shopping exercise in Hong Kong.
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CPYI to repurchase HK$9.6m of Lehman minibonds
CPYI is to repurchase Lehman Brothers-backed structured products worth HK$9.6m from investors.
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Merrill Lynch fined $3m by Hong Kong regulator
The SFC in Hong Kong has reprimanded and fined Merrill Lynch $3m for systems failings.
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SFC looking at business trusts, IPO sponsor liability: Reuters
Hong Kong’s SFC is looking into the types of business trusts it will allow, Reuters is reporting.
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HSBC Trinkaus fined $3m and banned from advising on structured products for two years by HK regulat
A private bank owned by HSBC has been fined and banned from advising on certain structured notes.
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SFC continues crackdown on unregulated advisers
The Eastern Magistracy of Hong Kong has fined an advisory firm and its director.
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SFC reappoints Alexa Lam as deputy CEO
The Hong Kong government has reappointed Alexa Lam as deputy chief executive officer of the SFC.