Entries by Tony Chan

Regulatory News (Aug 2021)

August 11, 2021 in /by

SFC suspends Cheung Man Chit for two years SFC alerts the public of unauthorised investment schemes SFC and Police conduct joint operation against listed company and senior executives in $450 million corporate fraud case Approval of the launch of an A shares index futures contract SFC concludes consultation on climate-related risks in funds SFC issues […]

Regulatory News (Jul 2021)

July 15, 2021 in /by

Statement on Next Digital Limited Hong Kong’s asset and wealth management business maintained strong growth in 2020 SFC publicly censures BIT Mining Limited for breaches of the Takeovers Code SFC sanctions Sino-Rich Securities & Futures Limited’s responsible officers Warning statement on unregulated virtual asset platforms Cross-Agency Steering Group announces next steps to advance Hong Kong’s […]

Regulatory News (Jun 2021)

June 8, 2021 in /by

SFC publishes Annual Report 2020-21 Court of Appeal grants SFC $622 million compensation orders against former directors of EganaGoldpfeil (Holdings) Ltd SFC publishes new guidance on ESG fund disclosures SFC reprimands and fines Deutsche Securities Asia Limited $2.45 million over incorrect prime brokerage client statements Annual update to the list of Financial Services Providers under […]

Past Issues of Regulatory Update for Ongoing Clients

May 17, 2021 in /by

March 2024 February 2024 January 2024 December 2023 November 2023 October 2023 September 2023 August 2023 July 2023 June 2023 May 2023 April 2023 March 2023 February 2023 January 2023 December 2022 November 2022 October 2022 September 2022 August 2022 July 2022 June 2022 May 2022 April 2022 March 2022 February 2022 January 2022 December […]

Regulatory News (May 2021)

May 10, 2021 in /by

SFC supports early vaccination drive SFC reprimands and fines Ewarton Securities Limited $1.5 million Appointments and re-appointments to SFC Advisory Committee SFC warns netizens of online investment scams SFC steps up efforts to combat IPO-related misconduct New speech by Ashley Alder: Keynote address at ISDA Annual General Meeting 2021 Market Misconduct Tribunal sanctions China Medical […]

Regulatory News (Apr 2021)

April 16, 2021 in /by

SFC and Police joint operation against listed company and senior executives SFC revokes IDS Forex HK Limited’s licence and bans its former co-CEOs for life New speech by Tim Lui: Speech at National Security Education Day New speech by Ashley Alder: Speech at the Eurofi High Level Seminar 2021 SFC reprimands and fines Optimas Capital […]

Regulatory News (Mar 2021)

March 9, 2021 in /by

SFC reprimands and fines Black Marble Securities Limited $1.8 million for internal control failings and regulatory breaches Appointments to SFC committees SFC reprimands and fines GEO Securities Limited $6.3 million for regulatory breaches SFC obtains disqualification orders against former senior executives of Long Success International (Holdings) Limited SFC welcomes appointment and re-appointment of Non-Executive Directors […]