Enforcement Actions

Regulatory Lessons from UBS AG’s HK$8 Million Fine for Misclassification of Professional Investors

Regulatory Lessons from UBS AG’s HK$8 Million Fine by the SFC for Misclassification of Professional Investors I. Case Background The Hong Kong Securities and Futures Commission (SFC) has publicly reprimanded and fined UBS AG (UBS) HK$8 mill

SFC issues restriction notice to GA (Int'l) Capital Management Limited and conducts search operation

Article Source: SFC issues restriction notice to GA (Int'l) Capital Management Limited and conducts search operation | Securities & Futures Commission of Hong Kong

Hedge fund manager disgorge $5.6 million illicit profit from false trading and disqualified 4yrs