Regulatory News (Jan 2021)
/in Regulatory News /by Tony Chan- SFC issues restriction notices to five brokers to freeze client accounts linked to suspected market manipulation
- Hong Kong and Thailand regulators sign MoU on Mutual Recognition of Funds
- New speech by Ashley Alder: Special remarks at the Asian Financial Forum 2021
- Court upholds jail sentence against former GEM-listed group finance manager for insider dealing
- Company secretary jailed for insider dealing
- SFC bans Yung Lap Hong for life
Regulatory News (Dec 2020)
/in Regulatory News /by Tony Chan- SFC issues restriction notice to a broker to freeze client accounts linked to suspected market manipulation
- SFC reprimands and fines Fulbright Securities Limited $3.6 million
- SFC concludes consultation on customer due diligence requirements for open-ended fund companies
- SFC previews new electronic licensing services
- SFC proposes amendments to the Code on Pooled Retirement Funds
- Company secretary convicted of insider dealing
- Cross-agency steering group launches its Strategic Plan to Strengthen Hong Kong’s Financial Ecosystem to Support a Greener and More Sustainable Future
- SFC licenses first virtual asset trading platform
- Market Misconduct Tribunal finds Li Yik Shuen culpable of insider dealing in Meadville Holdings Limited shares
- SFC proposes to upgrade the industry’s competency standards
- SFC provides additional guidance on external electronic data storage
- Market Misconduct Tribunal finds insider dealing in China Gas shares
- Process Review Panel Report 2019-20
- SFC issues quarterly report
- SFC consults on investor identification
- Amendments to the Code on Real Estate Investment Trusts take effect
- Arrangements relating to SFC’s public services