Regulatory News (Apr 2024)
/in Regulatory News /by Tony Chan- New speech by Christina Choi: Speech at the listing ceremony of first bitcoin and ether spot ETFs
- Three-year extension of grant scheme for open-ended fund companies and real estate investment trusts
- Court convicts two former licensees of false trading
- Case consolidation for first ramp-and-dump criminal prosecution at District Court
- SFC and HKEX collaborate in enforcement action against Main Board-listed company over dubious investment and financial arrangements
- SFC issues restriction notices to two brokers to freeze accounts of client involved in suspected corporate misconduct
- SFC cautions public against bogus calls purportedly from SFC
- SFC commences MMT proceedings against Dan Form’s company secretary and three others over suspected insider dealing
- SFC warns public of CBEX Group and Bitget Pro for suspected virtual asset-related fraud
- SFC’s statement on New Sparkle Roll International’s announcement
- SFC welcomes SEHK’s conclusions on climate-related disclosure requirements for listed companies
- SFC welcomes CSRC’s announcement of five measures on capital market cooperation with Hong Kong
- HKMA and SFC consult on annual updates to Financial Services Providers list under OTC derivatives regulatory regime
- SFC suspends dealings in Tianyun International Holdings Limited shares over massive missing corporate funds
- SFC warns public of TCAME and BitCloud for suspected virtual asset-related fraud
- SFC encourages licensed corporations to participate in Anti-Scam Charter 2.0
- New speech by Julia Leung: Keynote speech at HSBC Global Investment Summit
- SFC obtains court orders against former director and chief financial officer of Changgang Dunxin Enterprise Company Limited
- SFC warns public of suspicious investment products offered by ProCap International
- SFC and DFSA co-host high-level roundtable on distributing Hong Kong funds in Dubai International Financial Centre
- SFC warns public against unlicensed virtual asset trading platform Sure X
Regulatory News (Mar 2024)
/in Regulatory News /by Tony Chan- Appointments to SFC committees
- SFC consults on proposals to enhance REIT regime and SFO market conduct regime for listed CIS
- Cross-Agency Steering Group and International Sustainability Standards Board members met in Hong Kong
- SFC commences MMT proceedings against Ding Yi Feng former chairman over suspected market manipulation
- SFC warns public of EDY for suspected virtual asset-related fraud
- SFC warns public of HKCEXP for suspected virtual asset-related fraud
- SFC and HKMA further consult on enhancements to Hong Kong’s OTC derivatives reporting regime
- Retail trader jailed for securities fraud via illegal short selling
- New speech by Rico Leung: Keynote speech at China Bond Market Forum 2024
- SFC warns public of suspicious websites for impersonation and suspected virtual asset-related fraud
- New speech by Christopher Wilson: Keynote Address at the ALB Pan Asian Regulatory and Anti-Corruption Compliance Summit 2024
- SFC warns public against unlicensed virtual asset trading platform MEXC
- Pre-trial review fixed for unlicensed dealing prosecution
- SFC warns public against unlicensed virtual asset trading platform Bybit
- SFC and CSRC top management met in Beijing
- Hong Kong sees surge in investment fund net inflows: SFC Quarterly Report
- SFC CEO appointed chair of IOSCO Asia-Pacific regional committee
- Synopsis of speeches and discussions at SFC Regulatory Symposium
- SFC and HKEX collaborate in enforcement action against two former GEM-listed company directors for misconduct
- SFC warns public of BitForex for suspected virtual asset-related fraud
- SFC warns public of suspicious websites impersonating licensed virtual asset trading platforms
- Green Fintech Map launch showcases Hong Kong’s edge in sustainable finance
- SFC reminds public VATP application period has ended under transitional arrangements
Regulatory News (Feb 2024)
/in Regulatory News /by Tony Chan- SFC regulatory symposium fosters a more connected Asia-Pacific
- New speech by Julia Leung: Closing remarks at SFC Regional Securities Regulatory Leadership Symposium
- SFC warns public of suspicious crypto-related product “Yieldnodes.com masternode pool”
- New speech by Julia Leung: Moderator’s remarks at SFC Regional Securities Regulatory Leadership Symposium
- New speech by Tim Lui: Welcoming remarks at SFC Regional Securities Regulatory Leadership Symposium
- SFC welcomes government budget measures
- SFC secures first criminal conviction of securities fraud via illegal short selling
- First ramp-and-dump criminal prosecution at District Court commences
- SFC commences proceedings against Ding Yi Feng former chairman and to seek compensation for investors
- New speech by Julia Leung: Speech at Launch Ceremony of Greenhouse Gas Emissions Calculation and Estimation Tools
- Cross-Agency Steering Group launches revamped website for sustainable finance
- New greenhouse gas emissions calculation and estimation tools to support sustainability reporting
- Financial leaders to gather at SFC symposium to chart Asian markets’ way forward
- SFC warns public of suspicious investment products offered by Free Guy, Gold Scalper and Gold Champ
- SFC suspends dealings in the shares of LET Group Holdings Limited and Summit Ascent Holdings Limited
- SFC and Police warn public of MEXC for suspected virtual asset-related fraud
- The first ramp-and-dump case transferred to District Court
- SFC welcomes appointment of Executive Director
- SFC warns public of suspicious crypto-related product “Hong Kong International Financial Centre Token”
- SFC obtains court order to disqualify former chief financial officer of Fuguiniao Co., Ltd for two years
- SFC bans Lam Ching Chiu and Wong Siu Fung for five years
- SFC reprimands and fines PICC Asset Management (Hong Kong) Company Limited $2.8 million for fund management failures
- SFC urges investors to check regulatory status of virtual asset trading platforms as transition period will end soon
Regulatory News (Jan 2024)
/in Regulatory News /by Tony Chan- Suspected core syndicate member charged in ramp-and dump case
- SFC and National Financial Regulatory Administration top management meet in Hong Kong
- SFC warns public of suspicious crypto-related products “Floki Staking Program” and “TokenFi Staking Program”
- SFC cautions public against impersonators of SFC CEO
- SFC issues guidance to eligible licensed corporations on participation in Wealth Management Connect scheme
- SFC sets out three-year strategic priorities
- SFC regulatory symposium to debut in late February
- SFC and Police warn public of Aramex and DIFX for suspected virtual asset-related frauds
- SFC warns public of suspicious investment products offered by Eternity Prime Limited
- SFC cautions public against impersonators of senior SFC executives
- New TV drama highlights SFC’s enforcement work
- SFC suspends Andy Wong Yeung for 10 months
- Cross-Agency Steering Group announces key initiatives to support Hong Kong in capitalising sustainable finance opportunities