Regulatory News (Oct 2023)
- SFC consults further on proposed amendments for implementing an uncertificated securities market
- Court of Final Appeal unanimously dismisses appeal by suspected overseas manipulators
- SFC supports and sponsors the development of an industry-led voluntary code of conduct for ESG ratings and data products providers
- Court extends cut-off date for Maxim Fund investors to make claims by 30 November 2023
- Personal assistant to listed company’s chairman convicted of insider dealing
- SFC welcomes Chief Executive’s initiatives to enhance Hong Kong’s IFC status
- SFC restrains former director of SMI Culture & Travel Group Holdings Limited from disposing personal properties
- SFC, ICAC and AFRC conduct first tripartite operation against suspected corporate fraud and misconduct
- SFC welcomes re-appointment of Non-Executive Directors
- SFC consults on market sounding guidelines
- SFC bans Ivan Chan Chuk Cheung for seven years for IPO sponsor failures
- SFC commences legal proceedings against FingerTango Inc. and its current and former directors
- HKPF and SFC establish joint working group on VATPs
Regulatory News (Sep 2023)
- SFAT affirms SFC decision to ban Calvin Choi Chi Kin for two years
- SFC publishes lists of virtual asset trading platforms
- New speech by Christopher Wilson: Speech at Directors’ Symposium of the Hong Kong Institute of Directors
- Enhancements to the Cross-boundary Wealth Management Connect Pilot Scheme Strengthening Financial Market Connectivity in the GBA
- SFC-HKMA joint product survey in 2022 shows shifts to investments in money market funds
- New speech by Rico Leung: Keynote speech at ISDA Derivatives Trading Forum
- New speech by Christina Choi: Keynote speech at Bloomberg Buy-Side Forum 2023
- SFC obtains interim injunction against former director of SMI Culture & Travel Group Holdings Limited
- SFC steps up information dissemination and investor education on VATPs
- SFC amends takeovers and share buy-backs codes
- Statement on JPEX
- SFC bans Lo Wai Ming for seven months
- SFC reprimands and fines Chee Tak Securities Limited $2 million and sanctions its responsible officer for regulatory breaches
- Warning statement on unregulated virtual asset trading platform
- SFC revokes Axial Capital Management Limited’s licence and suspends its responsible officer for five years
- Court appoints administrators for Vantage New Generation Securities Limited