SFC
Merrill Lynch fined $3m by Hong Kong regulator
The SFC in Hong Kong has reprimanded and fined Merrill Lynch $3m for systems failings.
SFC looking at business trusts, IPO sponsor liability: Reuters
Hong Kong’s SFC is looking into the types of business trusts it will allow, Reuters is reporting.
HSBC Trinkaus fined $3m and banned from advising on structured products for two years by HK regulat
A private bank owned by HSBC has been fined and banned from advising on certain structured notes.
SFC continues crackdown on unregulated advisers
The Eastern Magistracy of Hong Kong has fined an advisory firm and its director.
SFC reappoints Alexa Lam as deputy CEO
The Hong Kong government has reappointed Alexa Lam as deputy chief executive officer of the SFC.