Regulatory News (Jan 2022)
- SFC reprimands and fines Citigroup Global Markets Asia Limited $348.25 million for serious regulatory failures over client facilitation activities
- Thematic reviews by ASIC and SFC of the foreign exchange (FX) activities of global financial groups
- Market Misconduct Tribunal sanctions Tianhe Chemicals Group Limited and its executive director for issuing false or misleading information in the company’s listing prospectus
- SFC sanctions Chu Hing Tsung for breaches of the Takeovers Code
- SFC reprimands and fines Zhonghui International Futures Company Limited $5 million for regulatory breaches
- SFC commences disciplinary proceedings against Wonderful Sky Financial Group Holdings Limited and others for alleged breach of the Share Buy-backs Code