SFC
HK regulator seeks ban, HK$77m from fintech firm directors
Hong Kong’s Securities and Futures Commission (SFC) is looking to disqualify 10 directors of Freeman FinTech Corporation and seeking compensation of HK$76.8m (£8.0m, $9.9m, €8.8m) for losses incurred during the acquisition of a local firm.
Tax & Regulation | 7 Oct 16
Life-ban for former HSBC relationship manager
Hong Kong’s SFC disqualifies Chen Chia-hui from the financial services industry following her bribery conviction.
Hong Kong regulator bans two ex-HSBC advisers for life
Hong Kong’s Securities and Futures Commission (SFC) has banned two former HSBC employees from re-entering the financial services industry for life after they were convicted of fraud.
Hong Kong regulator fines BNP Paribas HK$4m for overcharging
The Securities and Futures Commission (SFC) has fined BNP Paribas Wealth Management HK$4m (£393,000, $515,664, €461,793) for overcharging its clients.
People Moves | 2 Aug 16
PEOPLE MOVES: OMI, Architas, Hong Kong SFC
Old Mutual International has named a managing director for its Isle of Man operations, while Architas has poached Seneca IM’s head of retail for a new role and added Axa Wealth’s head of investing to its roster. The Hong Kong and Australian regulators also announced senior appointments.