Regulatory News (Apr 2021)
- SFC and Police joint operation against listed company and senior executives
- SFC revokes IDS Forex HK Limited’s licence and bans its former co-CEOs for life
- New speech by Tim Lui: Speech at National Security Education Day
- New speech by Ashley Alder: Speech at the Eurofi High Level Seminar 2021
- SFC reprimands and fines Optimas Capital Limited $1.05 million over short position reporting failures
- Consultation on annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime
- Court acquits solicitor of insider dealing in shares of CASH Financial Services Group Limited
- Market Misconduct Tribunal sanctions two former executives for insider dealing in Asia Telemedia Limited shares
- Arrest warrant issued for alleged social media ramp-and-dump manipulator