Archive for year: 2023

Regulatory News (Dec 2023)

December 5, 2023/in Regulatory News /by Tony Chan

SFC suspends Hau Bing Leung for 15 months
Market Misconduct Tribunal sanctions Mayer Holdings Limited and its former senior management for late disclosure of inside information
SFC warns public of unauthorised investment product named EAsyGOld Trend and EAsyGOld Plus
SFC warns public of LonShiX and Bitbank (Global) Financial Holding Group for suspected virtual asset-related fraud
SFC welcomes Process Review Panel Report 2022-23
SFC’s enhanced position limit regime to take effect
SFC reprimands and fines Central Wealth Securities Investment Limited $1 million for breaching Financial Resources Rules
SFC and State Administration of Foreign Exchange top management meet in Beijing
SFC bans Amy Chow Bik Sum for life
SFC obtains court order to disqualify former independent non-executive director of China Candy Holdings Limited for three years
SFC warns public of unauthorised investment product offered by “ATG Algorithm Trade Group”
SFC issues restriction notice to China International Capital Corporation Hong Kong Securities Limited
SFC highlights key regulatory work and market data in quarterly report
SFC warns public of HongKongDAO and BitCuped for involvement in suspected virtual asset-related frauds
SFC reprimands and fines Ruifeng Securities Limited $5.2 million for fund management and account opening failures and suspends its responsible officer

Regulatory News (Nov 2023)

November 6, 2023/in Regulatory News /by Tony Chan

Regulatory News (Oct 2023)

November 6, 2023/in Regulatory News /by Tony Chan

Regulatory News (Sep 2023)

September 26, 2023/in Regulatory News /by Tony Chan

CompliancePlus presented awards to winners of Pro-bono Work in Clinical Legal Education Book Prize 2022-23

September 26, 2023/in Press Release /by Tony Chan

CompliancePlus presented awards to winners of Pro-bono Work in Clinical Legal Education Book Prize 2022-23 (26 Sep 2023)

Regulatory News (Aug 2023)

August 10, 2023/in Regulatory News /by Tony Chan

Regulatory News (Jul 2023)

July 27, 2023/in Regulatory News /by Tony Chan

Regulatory News (Jun 2023)

July 27, 2023/in Regulatory News /by Tony Chan

Regulatory News (May 2023)

July 27, 2023/in Regulatory News /by Tony Chan

Regulatory News (Apr 2023)

April 17, 2023/in Regulatory News /by Tony Chan