This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 765 entries.
SFC proposes to relax position limits for key exchange-traded derivatives SFC commences insider dealing prosecution against Wong Pak Ming SFC supports government budget measures SFC proposes registrar fee limits under uncertificated securities market regime SFC forges consensus with regional counterparts on regulatory roadmap for sustainability, technology and investor protection New speech by Julia Leung: Keynote […]
SFC reprimands and fines Hang Seng Bank Limited $66.4 million for misconduct in selling practices of investment products SFC concludes consultation on proposals to pave way for fully digitalised public offerings SFC commences false trading prosecution against brothers-in-law SFC expands listed structured fund offerings in Hong Kong SFC’s Chairman and CEO paid Director Xia Baolong […]
SFC reprimands and fines Ever-Long Securities Company Limited $3 million for sponsor failures SFC and SAFE top management meet in Beijing SFC bans fund manager Ng Ka Shun for life and fines him $1.7 million for serious misconduct SFC and Ministry of Finance top management meet in Beijing Mainland-Hong Kong Mutual Recognition of Funds enhancements […]
SFC and ICAC jointly investigate suspected misconduct in public office SFC-backed launch event garners broad industry support for voluntary code of conduct for ESG ratings and data products providers China Forestry’s former chairman and CEO sanctioned for market misconduct SFC hosts workshops to further engage the industry SFC and CSRC top management meet in Hong […]
SFC concludes consultation on market sounding guidelines SFC furthers Hong Kong-Saudi Arabia capital market ties on Riyadh visit First immediate jail sentence for convicted unlicensed activity with a compensation order Encouraging progress made in asset management pilot use case in the Project Ensemble Sandbox SFC sets out vision to foster a vibrant fintech ecosystem in […]
New public fund depositaries regime comes live on 2 October 2024 SFC reprimands and fines Profitech Securities Limited $3.99 million for regulatory breaches SFC seeks share repurchase order for independent minority shareholders of LET Group Holdings Limited and Summit Ascent Holdings Limited SFC and HKMA conclude on further proposals to enhance Hong Kong’s OTC derivatives […]
SFC welcomes launch of Project Ensemble Sandbox as key step in Hong Kong’s tokenisation development New speech by Julia Leung: Opening remarks at Project Ensemble Sandbox Launch Ceremony Joint announcement of the SFC and the Exchange in relation to modifications to requirements for specialist technology companies and de-SPAC transactions Hong Kong sees a quarter of […]
Former banker ordered to disgorge $3 million illegal gains from insider dealing SFC warns public of Proxinex for suspected virtual asset-related fraud SFC and IA joined forces to tackle cross-sector irregularities SFC welcomes appointment and re-appointment of Non-Executive Directors SFC warns public against unlicensed virtual asset trading platform CoinUnited.io Three jailed between 52 and 80 […]
SFC warns public of Tokencan, VBIT Exchange and HKD.com Corporation for suspected virtual asset-related fraud and/or unlicensed activities SFC and HKMA conclude annual updates to Financial Services Providers list under OTC derivatives regulatory regime SFC bans Wu Chao for three years and seven months SFC secures conviction for provision of paid investment advice on Telegram […]
Top executives of SFC and DFSA meet in Dubai to extend market ties Market manipulators convicted in landmark High Court jury trial SFC top executives visit Saudi Arabia and UAE to foster financial services collaboration SFC statement on the end of non-contravention period for virtual asset trading platforms SFC suspends Wong Ka Ching for four […]