Thoughtful succession planning can pave the way for a smooth transition and a thriving future.

  By NB  Aug 26, 2023

Hong Kong SFC Fines China Industrial Securities International Brokerage $446,000 for Internal Control Failures for Suspicious Trading & Recording of Order Instructions, Only 5,000 of 18,008 Alerts Reviewed & Failed to Record 1,034 Telephone Orders

  By NB  Aug 25, 2023

Hong Kong SFC Fines Changjiang Corporate Finance $2.5 Million & Suspended Partially for 1 Year for 6 IPO Sponsor Failures Including Due Diligence, Advisory & Information Disclosure, Total of 6 IPO Applications for Pacific Infinity, AsiaPac Net Med

  By NB  Aug 25, 2023

United States SEC Amends Private Fund Advisors Regulations: Provide Quarterly Statements to Investors Including Performance & Fees, Yearly Audited Financial Statement & Prohibit Providing Preferred Redemption & Information to Selected Investor

  By NB  Aug 25, 2023