The co-CEOs knew of their chairman's arrest and conviction in Korea for fraud but did not report the events to the SFC.
April 23, 2021The SFC gave its approval for Aguzin’s appointment on Tuesday after vetting him against its fit and proper criteria.
March 3, 2021To improve member outcomes, APRA will focus on strengthening its prudential framework, sharpening supervision, improving data and enhancing transparency.
February 16, 2021The banker photocopied a client’s signature onto an instruction form and used it to apply for the issuance of a bank reference letter.
January 28, 2021Hong Kong, Singapore and Tokyo each have an opportunity to demonstrate global leadership in the regtech sector, according to a panel of experts hosted by the Asia Society's Hong Kong Center.
January 18, 2021The former manager used a cashier’s order application form pre-signed by a customer to misappropriate HK$3.6mn in April 2019.
January 6, 2021The new online licensing platform marks an important milestone in the modernisation of the SFC's gatekeeping function, said chief executive Ashley Alder.
December 21, 2020The former licensed representative said she had forgotten to declare an external securities trading account initially, and "could not be bothered to do so subsequently".
October 30, 2020The former Ewarton Securities representative placed his own orders within 30 seconds ahead of those placed for the client’s account.
September 23, 2020The guidelines are aimed at ensuring a uniform approach with regard to compliance and risk management culture across the banking industry.
September 14, 2020