Entries by Tony Chan

Regulatory News (Oct 2023)

SFC consults further on proposed amendments for implementing an uncertificated securities market Court of Final Appeal unanimously dismisses appeal by suspected overseas manipulators SFC supports and sponsors the development of an industry-led voluntary code of conduct for ESG ratings and data products providers Court extends cut-off date for Maxim Fund investors to make claims by […]

Regulatory News (Sep 2023)

SFAT affirms SFC decision to ban Calvin Choi Chi Kin for two years SFC publishes lists of virtual asset trading platforms New speech by Christopher Wilson: Speech at Directors’ Symposium of the Hong Kong Institute of Directors Enhancements to the Cross-boundary Wealth Management Connect Pilot Scheme Strengthening Financial Market Connectivity in the GBA SFC-HKMA joint product […]

Regulatory News (Aug 2023)

SFC and ICAC conduct joint operation against suspected market manipulation syndicate and Restriction Notices issued by the SFC to six brokers to freeze client accounts Regulators conclude consultation on revising OTC derivative Clearing Rules SFC concludes consultation on risk management guidelines for futures dealing activities SFC issues quarterly report SFC reprimands and fines China Industrial […]

Regulatory News (Jul 2023)

SFC welcomes licence and registration applications from depositaries of public funds Court convicted and fined Cheung Wing Hung for unlicensed activity SFC welcomes IOSCO endorsement of new sustainability disclosure standards SFC publishes review of SEHK’s performance in regulating listing matters New synopsis: Julia Leung’s keynote discussion at HKICPA’s CPA Congress SFC and AFRC join forces […]

Regulatory News (Jun 2023)

Annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime SFC and Exchange sign second addendum to MoU governing listing matters Cross-Agency Steering Group welcomes publication of IFRS Sustainability Disclosure Standards New speech by Julia Leung: Keynote speech at ASIFMA China Capital Markets Conference SFC obtains disqualification orders against former […]

Regulatory News (May 2023)

SFC and Police joint operation against a suspect of illegal short selling and fraudulent activities Licence applicant convicted of providing false information to the SFC SFC obtains disqualification orders against former directors of Luxey International (Holdings) Limited SFC concludes consultation on regulation of virtual asset trading platforms SFC consults on revisions to takeovers and share […]

Regulatory News (Apr 2023)

SFC welcomes Stock Exchange consultation on climate-related reporting requirements for listed companies New speech by Keith Choy: Keynote Speech at Hong Kong Web3 Festival 2023 SFC reprimands and fines Ninety One Hong Kong Limited $1.4 million for unlicensed futures trading Suspected core member of syndicate charged in ramp-and-dump case Six more charged in SFC and […]