Entries by Tony Chan

Regulatory News (Aug 2021)

SFC concludes consultation on climate-related risks in funds SFC issues quarterly report SFC Executive Director to retire SFC and ICAC joint operation on listed company’s suspicious money lending activities SFC to introduce investor identification and OTC securities transaction reporting SFC reprimands and fines UBS AG and UBS Securities Asia Limited $11.55 million for regulatory breaches

Regulatory News (Jul 2021)

Statement on Next Digital Limited Hong Kong’s asset and wealth management business maintained strong growth in 2020 SFC publicly censures BIT Mining Limited for breaches of the Takeovers Code SFC sanctions Sino-Rich Securities & Futures Limited’s responsible officers Warning statement on unregulated virtual asset platforms Cross-Agency Steering Group announces next steps to advance Hong Kong’s […]

Regulatory News (Jun 2021)

SFC publishes Annual Report 2020-21 Court of Appeal grants SFC $622 million compensation orders against former directors of EganaGoldpfeil (Holdings) Ltd SFC publishes new guidance on ESG fund disclosures SFC reprimands and fines Deutsche Securities Asia Limited $2.45 million over incorrect prime brokerage client statements Annual update to the list of Financial Services Providers under […]

Regulatory News (May 2021)

SFC supports early vaccination drive SFC reprimands and fines Ewarton Securities Limited $1.5 million Appointments and re-appointments to SFC Advisory Committee SFC warns netizens of online investment scams SFC steps up efforts to combat IPO-related misconduct New speech by Ashley Alder: Keynote address at ISDA Annual General Meeting 2021 Market Misconduct Tribunal sanctions China Medical […]