HSBC SECURITIES BROKERS (ASIA) LIMITED 滙豐證券經紀(亞洲)有限公司
SEHK fines HSBC Securities Brokers (Asia) Ltd HK$1m for BCAN breaches
| Statement of Disciplinary Action
SEHK, 3-Mar-2022
SEHK, 3-Mar-2022
SFC fines HSBC Securities Brokers (Asia) Ltd HK$6.3m for regulatory breaches
| Statement of Disciplinary Action
SFC, 3-Mar-2022
SFC, 3-Mar-2022
Why did the SFC kill HSBC's Stockmax?
Two years after the SFC shut retail investors out HSBC's automated trading system, an SFC announcement gives some indication of what happened, but still leaves retail investors wondering why a pioneering service which offered potential price improvement and competition for HKEx's monopoly stock market was not allowed. (20-Dec-2013)
Two years after the SFC shut retail investors out HSBC's automated trading system, an SFC announcement gives some indication of what happened, but still leaves retail investors wondering why a pioneering service which offered potential price improvement and competition for HKEx's monopoly stock market was not allowed. (20-Dec-2013)
SFC fines HSBC Securities Brokers (Asia) Ltd HK$5m for inaccurate information in licence application
SFC, 19-Dec-2013
SFC, 19-Dec-2013
HSBC's StockMax becomes StockMin
It was a false dawn for retail investors - the SFC has caved in to pressure and amended the license conditions of HSBC's Stockmax Crossing platform to restrict it to "professional investors" only. History will prove them wrong. (14-Aug-2011)
It was a false dawn for retail investors - the SFC has caved in to pressure and amended the license conditions of HSBC's Stockmax Crossing platform to restrict it to "professional investors" only. History will prove them wrong. (14-Aug-2011)
StockMax and competition for HKEx
We look at the implications of HSBC's proposed StockMax dark pool with retail investor participation. It's a wake-up call to the Government, SFC and HKEx that we need to move forward with allowing competition to innovate services both inside and outside HKEx. We propose measures to achieve this while preserving fair and orderly markets. (7-Aug-2011)
We look at the implications of HSBC's proposed StockMax dark pool with retail investor participation. It's a wake-up call to the Government, SFC and HKEx that we need to move forward with allowing competition to innovate services both inside and outside HKEx. We propose measures to achieve this while preserving fair and orderly markets. (7-Aug-2011)
SFC reprimands HSBC Securities Brokers (Asia) Limited
SFC, 21-Jul-2000
For settlement issues after the HK Government's stock market buying blitz on 28-Aug-1998.
SFC, 21-Jul-2000
For settlement issues after the HK Government's stock market buying blitz on 28-Aug-1998.
Sign up for our free newsletter
Recommend Webb-site to a friend
Copyright & disclaimer, Privacy policy