SFC
Hong Kong regulators halt securities firm
The Securities and Futures Commission has frozen the activities of Goodcape Securities (GSL) for being insufficiently capitalised.
HK firms must fix failures in sale practices
Corporations in Hong Kong must do more to fix deficiencies surrounding the sale of financial products, according to findings from the Securities and Futures Commission (SFC).
Salisbury Securities directors given life
Two former directors of Salisbury Securities have been given a life ban from the industry after they used client investments for personal and business expenses.
Adviser fined 900k fine and industry
A former chairman of PFC International has had his licence revoked and been fined $900,000 for mis-selling the EEA Life Settlements Fund to clients.
Pacific Sun Advisors takes case
Hong Kong based Pacific Sun Advisors and its director Andrew Mantel, have been granted leave to appeal against a conviction they were handed last year.