Entries by Tony Chan

Regulatory News (Aug 2022)

SFC sets out the way forward for green and sustainable finance SFC reprimands and fines TC Capital International Limited $3 million and suspends its responsible officer for sponsor failures

Regulatory News (Jul 2022)

SFC bans Chan Ka Hey for 6 months SFC reprimands and fines KTF Capital Management Limited $400,000 for breaching Financial Resources Rules SFC reprimands and fines Rifa Futures Limited $9 million for regulatory breaches Appointments to Disciplinary Chair Committee Hong Kong’s asset and wealth management business remained resilient in 2021 SFC reprimands and fines RBC […]

Regulatory News (Jun 2022)

Launch of ETF Connect New synopsis: Keynote by Ashley Alder at IFRS Foundation Conference 2022 New speech by Julia Leung: Keynote speech at ASIFMA Compliance Asia Conference 2022 SFC reprimands and fines CES Capital International (Hong Kong) Co., Limited $3.2 million for failures in managing private funds Annual update to the list of Financial Services […]

Regulatory News (May 2022)

ETF Connect: Regulators announce implementation details New speech by Ashley Alder: Keynote speech at PRI China Conference: Investing for Net Zero and SDGs New speech by Ashley Alder: Keynote speech at ASIFMA China Capital Markets Conference SFC bans Ho Pak Hay for life Court orders Pyramid and Ponzi scheme fraudsters to compensate investors

Regulatory News (Apr 2022)

SFC proposes changes to the position limit regime Amendments to the REIT Code in relation to bookbuilding and placing activities SFC bans Poon Choi Yung for 20 months SFC publicly criticises Gao Yunhong and Feng Xuelian for breaches of the Takeovers Code Regulators conclude consultation on new calculation periods and consult on annual update to […]

Regulatory News (Mar 2022)

The Green and Sustainable Finance Cross-Agency Steering Group welcomes the publication of the International Sustainability Standards Board proposed standards for public consultation Appointments to SFC committees Cross-Agency Steering Group releases assessment of carbon market opportunities for Hong Kong and next steps SFC bans Kim Bum Suk for 27 months New speech by Christina Choi: Climate […]

Regulatory News (Feb 2022)

SFC issues quarterly report SFC concludes consultation on regulating trustees and custodians of public funds and further consults on implementation details Court orders insider dealers to pay $12.9 million to investors SFC reprimands and fines South China Commodities Limited $4.8 million for regulatory breaches