Hong Kong’s regulator has slapped a six-year ban on Ko Shu Chuan for using a fake academic degree to get employed.
Tag: SFC – Securities and Futures Commission
SFC bans Nomura trader for 30 months
The Hong Kong Securities and Futures Commission has banned Masashi Yonezawa, a former trader at Nomura Hong Kong, for “deliberate and dishonest” conduct.
HK’s SFC bans Ping An trader
Hong Kong’s securities regulator slapped an eight-year ban on a former licensed representative of Ping An Securities and in a separate action set a date for a hearing involving HSBC Private Bank.
HK SFC chairman re-appointed
Carlson Tong has been reappointed as the chairman of the Hong Kong securities regulator for a second term of three years.
SFC fines Nomura for regulatory breach
Nomura International in Hong Kong has been fined after it failed to disclose that a trader had caused a $3.3m trading loss by making false entries in its risk management systems.
HK fund management business hits record $2.2bn
Hong Kong’s combined fund management business rose 10.5% last year to reach a record high of HK$17.68bn ($2.2bn), with a strong contribution from global investors, according to an SFC survey report.
SFC bans BJB employee for fake diploma
The former Bank Julius Baer account manager misrepresented her qualifications with a fabricated master’s degree, according to the Hong Kong’s Securities and Futures Commission.
Hong Kong SFC fines Phillips Securities over fund mis-selling
The Hong Kong Securities and Futures Commission (SFC) has reprimanded and fined Phillip Securities $1m for failings in selling a fund to four clients who lost their investment.
Wealth management to open in Hong Kong
AIAM is a Singapore-based organisation that consists of independent wealth managers who promote a better understanding of their business model. Although independent wealth managers are far fewer in Hong Kong than Singapore, they still need a unified voice, said Jessica Cutrera, managing director of the wealth management arm of EXS Capital, who is leading the […]
Top SFC exec quits Hong Kong for UK
The executive director of enforcement at Hong Kong’s Securities and Futures Commission is quitting and will work for the UK Financial Conduct Authority.
