SFC
HSBC hit with fine in Hong Kong for phone recording breaches
The Hong Kong Securities and Futures Commission (SFC) has imposed a monetary penalty of HK$2.1m ($268,000) against HSBC for failing…
SFC, ICAC sign pact to fight financial crime
Hong Kong’s Securities and Futures Commission (SFC) has inked a memorandum of understanding (MoU) with the Independent Commission Against Corruption (ICAC) to counter…
UK and Hong regulators sign agreement for mutual recognition of funds
The Financial Conduct Authority (FCA) and the Hong Kong Securities and Futures Commission (SFC) have inked a memorandum of understanding…
HSBC unit fined by Hong Kong regulator for bond sales deficiencies
HSBC Broking Securities (Asia), the securities unit of British banking group HSBC, has been fined HK$9.6m ($1.2m) by Hong Kong’s…
SFC and CBIRC sign MoU for regulatory cooperation
The Securities and Futures Commission (SFC) of Hong Kong and the China Banking and Insurance Regulatory Commission (CBIRC) have inked…
Subscribe to our Newsletter
Get industry leading news, data and analysis delivered to your inbox
Hong Kong and Abu Dhabi regulators sign fintech cooperation agreement
The Securities and Futures Commission of Hong Kong (SFC) has signed a pact with the Abu Dhabi Global Market (ADGM)…
Hong Kong and Swiss regulators sign fintech deal
Hong Kong’s Securities and Futures Commission (SFC) and the Swiss Financial Market Supervisory Authority (FINMA) have inked an agreement to…
CSRC and SFC sign MoU to improve cooperation on futures markets
Financial regulators China Securities Regulatory Commission (CSRC) and the Securities and Futures Commission (SFC) of Hong Kong have signed a…
Standard Chartered Securities Hong Kong fined for internal control failures
Standard Chartered Securities Hong Kong (SCSHK), the securities brokerage unit of Standard Chartered, has been fined HKD2.6m ($332,306) by Securities…
Hong Kong securities regulator unveils regulatory sandbox
The Securities and Futures Commission (SFC) of Hong Kong has launched a regulatory sandbox to allow companies to perform regulatory…