Latest SFC Decisions Against SFC Licensed Corporations and Unlicensed and SFC Licensed Individuals for Compliance Failures under the Securities and Futures Ordinance
SFC Reported Cases for Compliance Failures under the Securities and Futures Ordinance: mid-December 2019 to mid-February 2020
The SFC has published updates on over ten disciplinary actions and related prosecutions between 17 December 2019 and 14 February 2020, including the following: Read More…