This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
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 […]
信報 : 天智合規冀證監增發牌效率 優化網上申請 展示批核速度 (2023-02-13)
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
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 […]
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 […]
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 […]
Thirteen people charged following SFC and Police joint operation against ramp-and-dump syndicate SFC welcomes appointment of Executive Directors SFAT affirms SFC decision to suspend hedge fund manager Christopher James Aarons Court dismisses challenge to SFC’s power of issuing restriction notices SFC-HKMA’s joint product survey shows increasing participation of intermediaries and investors Court sets pre-trial review […]
SFC’s review shows increasing popularity of online investment services Takeovers Panel rules a special waiver from the general offer obligation may be granted to Broad Gongga for an involuntary disposal that leads to a change in concert group leader Retail investors convicted and fined for illegal short selling SFC issues restriction notice to a broker […]
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 […]
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 […]