Regulatory News (Mar 2020)
- Appointments to SFC committees
- SFC sanctions China Rise Securities Asset Management Company Limited’s former responsible officers
- Consultation on annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime
- SFC issues guidance to fund industry amidst COVID-19 outbreak
- Market Misconduct Tribunal finds Magic Holdings International Limited and its directors culpable of late disclosure of inside information
- SFC bans Mo Shau Wah for life
- SFC bans Chan Tan Lo for 14 months
- New SFC-SEHK announcement