SFC
sfc begins legal proceedings against first china
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 sfc begins criminal proceedings against
The Securities and Futures Commission has begun criminal proceedings against Pacific Sun Advisors and its director Andrew Pieter Mantel.
rbc im fined hk4m over sale of unauthorized funds
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.
Tax & Regulation | 26 Mar 12
former citi adviser banned for madoff style scheme
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 sfc bids to reduce systemic risk
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.