Tag: sfc

The Securities and Futures Commission (SFC) has reprimanded and fined The Hongkong and Shanghai Banking Corporation Limited (HSBC) HK$4.2m after it failed to comply...

A global coalition of financial regulators, led by the UK's FCA, has taken coordinated action to clamp down on so-called “finfluencers” promoting unauthorised financial...

Fund managers distributing UCITS and AIFs internationally face a constantly evolving regulatory environment. To support legal, compliance, and distribution teams, Zeidler has updated its...

A Hong Kong-based investment management firm has partnered with MyComplianceOffice (MCO) to streamline, centralise and improve compliance within its operations. 

The Securities and Futures Commission (SFC) of Hong Kong has launched a consultation on the proposed requirements for operators of virtual asset trading platforms.

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...