SFC
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.
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.