On June 29th, the SFC added or updated the following firms to its Alert List – these are firms who are unlicensed to operate in the securities industry in Hong Kong:
- Bell Capital Private Wealth Managers
- Evan Thompson Advisory
- Hypa Asset Management Ltd
- Jeffrey Brothers Capital
- Katana Securities
- Maxim Trader / Maxim Capital Limited
- Noah Henning Investment Group / Noah Henning International Group
- Option Financial Markets
- Progressive Equity Advisors Ltd
- Robinson Franklin
- Simons Griffin Financial
- The Southwood Group
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