Entries by Tony Chan

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 […]

Regulatory News (Mar 2023)

SFC consults on proposed subsidiary legislation for implementing an uncertificated securities market in Hong Kong SFC concludes consultation on introduction of new regulated activity for depositaries of public funds Court reaffirms SFC’s power of issuing restriction notices SFC publishes quick reference guides for licensing requirements UBS AG’s acquisition of Credit Suisse AG SFC issues guidance […]

Regulatory News (Feb 2023)

SFC bans Chan Wai Chun for life SFC concludes consultation on introduction of new regulated activity for depositaries of public funds SFC welcomes government budget measures SFC consults on proposals to regulate virtual asset trading platforms SFC and CSRC enter into an MoU on regulatory cooperation SFC reprimands and fines Jinrui Futures (Hong Kong) Limited […]

Regulatory News (Jan 2023)

SFAT affirms SFC decision to fine Cardinalasia Consulting Limited $1.5 million and imposes a heavier suspension on its responsible officer for failures in managing private funds SFC warns the public against a suspicious website

Regulatory News (Dec 2022)

SFC appoints Interim Head of Intermediaries Process Review Panel Report 2021-22 SFC reprimands and fines Guosen Securities (HK) Brokerage Company, Limited $2.8 million over regulatory breaches Cross-Agency Steering Group announces collaboration with CDP to enhance data availability and sustainability reporting in Hong Kong Regulators announce expansion of eligible stocks under Stock Connect SFC bans Sun […]

Regulatory News (Nov 2022)

SFC and CSRC hold high-level enforcement cooperation meeting SFC consults on risk management guidelines for futures dealing activities Suspected syndicate leader charged in connection with ramp-and dump schemes Court orders Hong Kong Wan Kiu Investment Company Limited and its connected entities to compensate clients SFC concludes consultation on the position limit regime and proposes further […]

Regulatory News (Oct 2022)

Pilot Green and Sustainable Finance Capacity Building Support Scheme begins accepting eligible programme applications SFC bans Tang Shiyi for 10 months New speech by Julia Leung: Keynote speech at Hong Kong FinTech Week 2022 Cross-Agency Steering Group welcomes launch of HKEX’s Core Climate to mobilise finance for the transition to a low carbon economy SFC […]