top of page
Aug 1, 20223 min read
SFC reprimands and fines TC Capital International Limited $3 million and suspends its responsible of
The Securities and Futures Commission (SFC) has reprimanded and fined TC Capital International Limited (TC Capital) $3 million for...
Jul 28, 20222 min read
SFC reprimands and fines KTF Capital Management Limited $400k for breaching Financial Resources Rule
The Securities and Futures Commission (SFC) has reprimanded and fined KTF Capital Management Limited (KTFCM) (formerly known as Forchn...
Jul 28, 20222 min read
SFC bans Chan Ka Hey for 6 months
The Securities and Futures Commission (SFC) has banned Mr Chan Ka Hey, a former relevant individual of Standard Chartered Bank (Hong...
Jul 25, 20222 min read
SFC reprimands and fines Rifa Futures Limited $9 million for regulatory breaches
The Securities and Futures Commission (SFC) has reprimanded and fined Rifa Futures Limited (Rifa) $9 million for failures in complying...
Jul 21, 20222 min read
HKMA and Cyberport jointly promote use of regulatory technology in Anti-Money Laundering
The Hong Kong Monetary Authority (HKMA) and Cyberport, supported by Deloitte, co-organised today (21 July) the second AML Regtech Lab...
Jul 15, 20222 min read
Managers appointed by the IA present winding-up petition against Target Insurance Company Limited
The Insurance Authority (IA) appointed Mr Derek Lai and Mr Forrest Kam of Deloitte Touche Tohmatsu as Joint and Several Managers (the...
Jul 8, 20222 min read
Penalises Mr Go for carrying out money-changing and remittance businesses without valid licences
The Monetary Authority of Singapore (MAS) has imposed a composition penalty of $70,000 on Mr Go Choo Huat, for carrying on a...
Jun 20, 20223 min read
Insurance Authority bans Ho Man Tat for 5 months
The Insurance Authority (IA) has taken disciplinary action against a former technical representative (broker) Mr Ho Man Tat, prohibiting...
bottom of page