Tag: Hong Kong Securities and Futures Commission

Asia March 21, 2018 11:00 AM GMT

UBS fined $4.5 million for record keeping failures

Hong Kong financial watchdog fines UBS after it failed to produce transaction and client consent records.

Technology November 14, 2016 5:03 AM GMT

FinTechs have moved away from being pure technology and information platforms to being financial services providers.

Derivatives September 1, 2016 4:48 AM GMT

Hong Kong’s SFC grants LCH CCP status and allows it to provide automated trading services in the region.

Asia August 31, 2016 6:23 AM GMT

BNP Paribas made $9.5 million by marking up fees on client transactions between 2011 and 2013.