SFC - Securities and Futures Commission

Hong Kong’s SFC (Securities and Futures Commission) has reprimanded and fined Sino-Rich Securities & Futures HKD 7.2 million (USD 927,000) for failures in complying with AML/CTF regulatory requirements when handling cash deposits and third party fund transfers.


Published on Mar. 16th, 2021 Published on Mar. 16th, 2021
Scenario: Conduct / Breach of AML, Terrorism Financing or Sanctions Regulations

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