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Archive for month: October, 2021

You are here: Home / Nov 2017 / 2021 / October

Regulatory News (Oct 2021)

October 19, 2021/in Regulatory News /by Tony Chan

SFC concludes consultation on conduct requirements for bookbuilding and placing activities
SFC concludes consultation on amendments to the Code on Pooled Retirement Funds
SFC bans Lau Tin Yau for life
Court upholds conviction of Law Sai Hung over unlicensed activities
SFAT affirms SFC decision to reprimand and fine Yi Shun Da Capital Limited for sponsor failures
SFC reprimands and fines Ample Capital Limited $5.5 million and suspends its responsible officer for IPO sponsor failures
Two former senior executives of Convoy Global jailed for conspiracy to defraud
SFC welcomes re-appointment of Chairman and appointment of Non-Executive Directors
Green and Sustainable Finance Cross-Agency Steering Group supports Hong Kong’s Climate Action Plan 2050
SFC-HKMA’s first joint survey signals active investment products market
SFC issues Restriction Notice to HF Asset Management Limited
SFC supports Chief Executive’s initiatives
SFC sets out standards for operational resilience and remote working arrangements

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2021-10-19 11:37:082021-11-08 14:25:05Regulatory News (Oct 2021)

Regulatory News (Sep 2021)

October 19, 2021/in Regulatory News /by Tony Chan

SFC-ICAC operation leads to conviction of Convoy Global’s former senior executives
SFC concludes consultation on anti-money laundering guidelines
New speech by Tim Lui: Opening address at ACCA Hong Kong Virtual Annual Conference 2021
New synopsis by Christina Choi: Webinar at Hong Kong Securities and Investment Institute

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2021-10-19 11:24:332021-10-19 11:25:08Regulatory News (Sep 2021)

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