Archive for year: 2022

Regulatory News (Nov 2022)

November 21, 2022/in Regulatory News /by Tony Chan

Regulatory News (Oct 2022)

October 7, 2022/in Regulatory News /by Tony Chan

Pilot Green and Sustainable Finance Capacity Building Support Scheme begins accepting eligible programme applications
SFC bans Tang Shiyi for 10 months
New speech by Julia Leung: Keynote speech at Hong Kong FinTech Week 2022
Cross-Agency Steering Group welcomes launch of HKEX’s Core Climate to mobilise finance for the transition to a low carbon economy
SFC publicly criticises Gold Dragon Worldwide Asset Management Limited for breaches of Takeovers Code
Former account executive of Fulbright Securities Limited jailed for securities fraud
Retail investor convicted and fined for illegal short selling
Court convicted Wong King Hoi for obstruction of SFC’s search operation
SFC welcomes Chief Executive’s initiatives to enhance Hong Kong’s competitiveness
SFC welcomes appointment and re-appointment of Non-Executive Directors
Former account executive of Fulbright Securities Limited convicted of securities fraud
Cross-Agency Steering Group launches Sustainable Finance Internship Initiative to support capacity building
SFC reprimands and fines Asia Research & Capital Management Limited $1.75 million and bans former senior executive Billy Wong Yim Chi for two months
Court orders Sound Global to purchase shares from investors
New speech by Julia Leung: Keynote speech at ASIFMA Tech and Ops Conference 2022

Regulatory News (Sep 2022)

September 7, 2022/in Regulatory News /by Tony Chan

Regulatory News (Aug 2022)

August 3, 2022/in Regulatory News /by Tony Chan

Regulatory News (Jul 2022)

July 7, 2022/in Regulatory News /by Tony Chan

Regulatory News (Jun 2022)

July 7, 2022/in Regulatory News /by Tony Chan

Regulatory News (May 2022)

May 25, 2022/in Regulatory News /by Tony Chan

Regulatory News (Apr 2022)

May 25, 2022/in Regulatory News /by Tony Chan

CompliancePlus Advises on Endowus’ Successful Digital Advisor SFC Licenses Application

April 1, 2022/in Press Release /by Tony Chan

Press Release – CompliancePlus Advises on Endowus’ Successful Digital Advisor SFC Licenses Application (25 Mar 2022)

Regulatory News (Mar 2022)

March 11, 2022/in Regulatory News /by Tony Chan