LCF Compliance 圓方合規

LCF Compliance 圓方合規 LCF is a leading compliance company that brings together experienced and capable professionals to offer you the best.

We has the caliber and experience to customize programs that fits your needs in the most efficient and cost-effective way.

28/06/2019

Soon after SFC's promise to initiate more proactive measures in handling regulatory issues, it conducted a joint search of two sponsor firms' offices with the ICAC on this Wednesday.

The Securities and Futures Commission (SFC) has conducted a joint operation with the Independent Commission Against Corruption (ICAC) which involved a search of the offices of two sponsor firms.  The SFC conducted the search using its powers under the Securities and Futures Ordinance (SFO).

In Hong Kong, as elsewhere, regulators are extending the range of information companies have to disclose, including deta...
28/06/2019

In Hong Kong, as elsewhere, regulators are extending the range of information companies have to disclose, including details about how they are addressing environmental, social and governance (ESG) issues. But why it's becoming more important so that companies have to take these requirements more seriously?

Environmental, social and governance (ESG) issues are not simply a matter of compliance, but of certain weight whereby investors are actually putting ESG factor

25/06/2019

FT Securities Limited was fined and reprimanded after the SFC had discovered severe regulatory breaches and internal control failures in relation to the three equity research reports they published.

The Securities and Futures Appeals Tribunal (SFAT) today affirmed the decision of the Securities and Futures Commission (SFC) to reprimand FT Securities Limited (FTSL) and fine it $3.5 million for regulatory breaches and internal control failures in relation to preparation and publication of researc...

24/06/2019

Due to several breaches of disclosure requirements, the SFC has taken steps to impose penalty on Credit Suisse (Hong Kong) Limited and Credit Suisse.

The Securities and Futures Commission (SFC) has reprimanded and fined Credit Suisse (Hong Kong) Limited (CSHK) and Credit Suisse AG (CSAG) (collectively, Credit Suisse) $2.8 million over their failures to comply with the disclosure requirements when they published certain research reports on Hong Ko...

When it comes to promoting your content, social media is likely to be one of your key channels. But if you're a regulate...
24/06/2019

When it comes to promoting your content, social media is likely to be one of your key channels. But if you're a regulated firm, social media itself may come with its own regulations and limitations. But do you know what compliance risks your social media strategy pose?

As social media marketing continues to grow, companies are leveraging the power of social media to advance their business. Not only it helps to build relationsh

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