Stock code This page shows the historic number of SFC licensees for a firm. Licensees are either Responsible Officers (ROs) or Representatives (Reps). When Activity is set to "All", we treat a person who holds both roles (in different activities) as an RO. The Reps v total is a measur...
UBS SDIC Asset Management (Hong Kong) Company Limited 國投瑞銀資產管理(香港)有限公司 This page shows the historic number of SFC licensees for a firm. Licensees are either Responsible Officers (ROs) or Representatives (Reps). When Activity is set to "All", we treat a person who holds both ...
The Hong Kong regulators, the Securities and Futures Commissions (SFC) announced that from June 1, 2023, centralized virtual asset trading platforms (VATPs) trading in Hong Kong will need to apply for a license under its new regulations. Under the Securities and Futures Ordinance (Cap. 571...
周四(01月16日)援引Finance Magnates(FM)报道,作为ISAM Capital Markets的一部分,IS Prime Hong Kong日内宣布已经获得了香港证券和期货委员会(SFC)授予的第三类杠杆外汇交易牌照。 这一牌照将使得IS Prime Hong Kong向机构性专业投资者提供杠杆外汇交易服务。 此前该公司是向机构提供技术服务,而非交易服务。 需要指...
AIs may implement systems and controls that could potentially restrict their customers from engaging in certain VA-related activities through their Hong Kong bank accounts. Furthermore, such Unregulated VASPs must ensure that their business activities do no...
The process of applying for a SFC licence requires the proper completion and submission of certain prescribed forms. The forms required will include some or all of the following: Forms for the Hong Kong company- th...
The Hong Kong SFC requires firms to at least semi-annually declare their trades and holding activity of their licensed employees. In other regions, like in the US, SEC registered firms must complete this quarterly at least. Through this regular trade and holding attestation, firms are able to ...
Hong Kong-domiciled funds showed continued momentum with assets under management (AUM) up 7% quarter-on-quarter (QoQ) as of end-June and net fund inflows up 80% QoQ for the quarter. Another bright spot was the growth of license applications received by the SFC, which rose 3% QoQ and 8%...
The SFC is determined to eliminate these ramp-and-dump schemes which cause harm and distress to those members of the public who are duped by fraudsters Ashley Alder, Hong Kong SFC The SFC said 12 people – including those believed to be the ringleaders of the syndicate and their associates ...
Hong Kong SFC to compliance check crypto firms offices after license deadline A total of eleven crypto asset companies and exchanges have withdrawn license applications ahead of the deadline.