SFC

Asia | 24 Nov 16

Fund distributors in Hong Kong will have to disclose any monetary benefits they receive prior to, or at the point, of sale, under new proposals from the Securities and Futures Commission (SFC).

Asia | 31 Oct 16

Hong Kong’s Securities and Futures Commission (SFC) has cancelled the licences of Richmond Asset Management and its owner Graham Frank Bibby and banned him from re-entering the industry for 10 years.

Asia | 11 Oct 16

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

Hong Kong’s SFC disqualifies Chen Chia-hui from the financial services industry following her bribery conviction.

Asia | 7 Sep 16

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.