Tag archive for ‘HK SFC’
Ashley Alder, HK SFC Chief Executive Officer
By Steve On Wednesday, June 15th, 2016
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HK SFC fines State Street Global Advisors $4 million

Ashley Alder, HK SFC Chief Executive OfficerThe Securities and Futures Commission (SFC) has reprimanded and fined State Street Global Advisors Asia Limited (SSGA) $4 million for its failure to comply with regulatory More...

Ashley Alder,  chief executive officer of the Securities and Futures Commission
By Steve On Friday, June 3rd, 2016
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HK SFC Alder Speech

Ashley Alder, chief executive officer of the Securities and Futures CommissionThe last time I spoke at an HKSI lunch was about 18 months ago, which was only a week after the launch of Shanghai-Hong Kong Stock Connect. More...

Ashley Alder,  chief executive officer of the Securities and Futures Commission
By Steve On Tuesday, May 31st, 2016
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HK SFC reprimands and fines Guotai Junan Securities $1.3 million

Ashley Alder, chief executive officer of the Securities and Futures CommissionThe Securities and Futures Commission (SFC) has reprimanded and fined Guotai Junan Securities (Hong Kong) Limited (Guotai Junan) $1.3 More...

Ashley Alder,  chief executive officer of the Securities and Futures Commission
By Steve On Thursday, May 7th, 2015
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HK SFC recovers $190 million for investors of collapsed hedge fund

Ashley Alder, chief executive officer of the Securities and Futures CommissionThe Securities and Futures Commission (SFC) today resolved proceedings involving the Descartes Athena Fund SPC (the Athena Fund), paving More...

By Steve On Friday, February 6th, 2015
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HK SFC welcomes appointment of Executive Director

Ashley Alder, HK SFC CEO –The Securities and Futures Commission (SFC) today welcomes the appointment by the Financial Secretary of Ms Julia Leung as Executive Director of the Investment Products Division for More...

Ashley Alder,  chief executive officer of the Securities and Futures Commission
By Steve On Thursday, January 29th, 2015
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HK SFC unveils report on asset management

Ashley Alder, HK SFC CEO –The Securities and Futures Commission (SFC) published a second report in its risk-focused industry meeting series entitled Asset Management: Looking Forward. The report follows a More...

By Steve On Friday, September 26th, 2014
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HK SFC Welcomes re-appointment of its Chief Executive Officer

Ashley Alder, HK SFC CEO –The Securities and Futures Commission (SFC) today welcomes the re-appointment of Mr Ashley Alder as its Chief Executive Officer for another three-year term effective from 1 October More...

By Steve On Thursday, January 9th, 2014
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HK SFC Resolves Compliance Concerns with Cheong Lee Securities

Mark Steward HK SFC EnforcementThe Securities and Futures Commission (SFC) has resolved its compliance concerns with Cheong Lee Securities Limited (Cheong Lee) (Note 1). Under the resolution, the SFC reprimands More...

By Steve On Monday, December 30th, 2013
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Tiger Asia Admits Insider Dealing and Ordered to Pay Investors $45 Million

Mark Steward HK SFC EnforcementThe Court of First Instance today ordered Tiger Asia Management LLC (Tiger Asia) and two of its senior officers, Mr Bill Sung Kook Hwang and Mr Raymond Park (collectively the Tiger More...

By Steve On Thursday, December 19th, 2013
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HK SFC fines HSBC Securities $5 million for Providing Inaccurate Information in Licence Application

HSBC Hong Kong HeadquartersThe Securities and Futures Commission (SFC) has reprimanded HSBC Securities Brokers (Asia) Limited (HSBC Securities), a wholly owned subsidiary of The Hongkong and Shanghai Banking Corporation More...

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