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 measure of how ...
Hong Kong and is regulated by the Hong Kong Monetary Authority and registered with the Securities and Futures Commission (“SFC”) to carry on Type 1 (dealing in securities), Type 4 (advising on securities), Type 6 (advising on corporate finance) and Type 9 (asset management) regulated acti...
The Securities and Futures Commission (SFC) of Hong Kong has shut down several market manipulation schemes in the Chinese territory, leading to trading accounts being frozen and a series of arrests. It said 15 brokers in Hong Kong have been ordered to freeze client accounts linked to a suspecte...
As reported, the SFC's crackdown will come as no surprise to counsel in Hong Kong, who have long expected regulatory action amongst possible disputes in the region. As per the SFC's Web site, the company was accused of transferring or otherwise dealing with clients' property in a manner ...
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...
“SFC”) to carry on Type 1 (dealing in securities), Type 4 (advising on securities), Type 6 (advising on corporate finance) and Type 9 (asset management) regulated activity under the Securities and Futures Ordinance (Cap. 571) (“SFO”) (CE No. AJI614). The contents of this ...
On 21 September 2023, the Hong Kong Securities and Futures Commission (“SFC”) published the consultation conclusions (the “Conclusions”) on proposed amendments to the Codes on Takeovers and Mergers and Share Buy-backs (the “Codes”). The Conclusions related to the propos...
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 ...
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check crypto firms offices after license deadline A total of eleven crypto asset companies and exchanges have withdrawn license applications ahead of the deadline.
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...