Hong Kong Securities and Futures Commission (SFC)

Investigations into the individuals involved in the misconduct are ongoing. MAS added that it had conducted an inspection in 2018 to review the bank’s efforts in remediating the internal control weaknesses that led to the contraventions.  “We n

HONG KONG (Oct 11): Hong Kong’s securities regulator is probing “substandard work” by 15 firms in their roles as sponsors for initial public offerings (IPOs) in the Asian financial hub, a senior official said on Wednesday.