Tag: Hong Kong’s Securities and Futures Commission
Hong Kong’s SFC unveils consultation conclusion on AML/CFT guideline amendments
Hong Kong’s Securities and Futures Commission (SFC) has published the conclusion of a consultation to amend its anti-money laundering and counter terrorism financing guidelines.
UBS fined $51m by Hong Kong regulator for overcharging
Swiss multinational investment bank UBS has reportedly been fined HKD $400M ($51m) by Hong Kong’s securities regulator for overcharging around 5,000 clients. The Hong Kong...
Hong Kong’s SFC launches RegTech Sandbox
Hong Kong’s Securities and Futures Commission (SFC) has launched a RegTech sandbox to enabled qualified firms to test their regulated activities. The SFC said the...