SFC
Tax & Regulation | 13 Feb 12
hk regulator bans two for misconduct
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.
hong kong brokers conviction
A court in Hong Kong has overturned a brokers conviction for market manipulation.
new antimoney laundering guidelines
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.
hk regulator disciplines brokers
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.
People Moves | 8 Nov 11
martin wheatley elected to esma management board
The European Securities and Markets Authority has elected Martin Wheatley, a senior figure at the UKs Financial Services Authority, to its management board.