SFC Adds CVC Groups Private Capital and Arthur-Sera Ltd to its Alert List
Posted: Tue Jul 05, 2016 2:17 pm
Hong Kong’s Securities and Futures Commission (SFC) has updated its Alert List and included a further two brokers in the category of unlicensed entities. CVC Groups Private Capital/CVC Ltd and Arthur-Sera Ltd are the latest firms to come under the SFC spotlight as part of the regulator’s attempts to stop unlicensed entities soliciting their services in Hong Kong.
Finance Magnates has reported on the actions taken by the SFC on several occasions this week, most recently yesterday when it added DaTong Global to its growing list after it was found to be conducting business in Hong Kong without permission to do ... (read more)