Regulatory News (Feb 2021)
- SFC petitions for the winding up of Adamas Asset Management (HK) Limited and seeks to appoint provisional liquidators
- SFC and FRC to enhance collaboration
- SFC welcomes government budget measures
- SFC issues quarterly report
- SFC reprimands and fines Brilliance Asset Management Limited $3.15 million over short position reporting failures
- SFC issues restriction notices to 13 brokers to freeze client accounts linked to suspected social media ramp-and-dump scam
- New speech by Ashley Alder: Climate change and finance: What’s next for global regulators?
- SFC welcomes re-appointment of Executive Director and Deputy CEO
- SFC and Police warn investors about social media scams
- SFC issues restriction notices to two brokers to freeze client accounts linked to suspected social media ramp-and-dump scam
- SFC obtains disqualification orders against former senior executives of Far East Holdings International Limited
- SFC consults on conduct requirements for bookbuilding and placing activities
- MoU on Cross-boundary Wealth Management Connect
- SFC cautions investors on trading volatility
- Market Misconduct Tribunal sanctions Li Yik Shuen for insider dealing in Meadville Holdings Limited shares
- Notice inviting claims in respect of Hong Kong Wan Kiu Investment Company Limited