Regulatory News – CompliancePlus Consulting Limited

Regulatory News (Apr 2023)

April 17, 2023/in Regulatory News /by Tony Chan

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 Police joint operation against sophisticated ramp-and-dump syndicate

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Regulatory News (Mar 2023)

March 28, 2023/in Regulatory News /by Tony Chan

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 in light of new Mainland rules for overseas listings
Five more arrested in SFC and ICAC joint operation against sophisticated ramp-and-dump syndicate
SFC and PBoC top management met in Beijing
SFC and CSRC top management met in Beijing
SFAT affirms SFC decision to reprimand and fine I-Access Investors Limited $600,000 over breach of the Code of Conduct
Joint consultation on changes to the OTC derivative Clearing Rules
SFC reprimands and fines City International Futures (Hong Kong) Limited $100,000 for regulatory breaches
SFC issues quarterly report
SFC bans Citigroup Global Markets Asia Limited’s former responsible officer Philip John Shaw for 10 years
SFC welcomes re-appointment of Non-Executive Directors
Investor identification regime to take effect on 20 March 2023
SFC bans Wong Kwun Shing for life

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Regulatory News (Feb 2023)

February 23, 2023/in Regulatory News /by Tony Chan

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 $4.8 million and sanctions its responsible officers for regulatory breaches

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Regulatory News (Jan 2023)

February 1, 2023/in Regulatory News /by Tony Chan

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

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Regulatory News (Dec 2022)

February 1, 2023/in Regulatory News /by Tony Chan

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 Yiding for eight months
SFC fines and suspends Chung Tung Sau for seven months
SFC suspends Wang Pei Yi for 10 months
SFC welcomes new Chief Executive Officer
Statement on virtual asset arrangements claiming to offer returns to investors
SFC to launch investor identification regime in March 2023
SFC issues quarterly report

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Regulatory News (Nov 2022)

November 21, 2022/in Regulatory News /by Tony Chan

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 changes
SFC and ICAC joint operation against sophisticated ramp-and-dump syndicate
Wong King Hoi jailed for obstruction of SFC’s search operation
SFC reprimands and fines Swiss-Asia Asset Management (HK) Limited $3 million for regulatory breaches

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Regulatory News (Oct 2022)

October 7, 2022/in Regulatory News /by Tony Chan

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 publicly criticises Gold Dragon Worldwide Asset Management Limited for breaches of Takeovers Code
Former account executive of Fulbright Securities Limited jailed for securities fraud
Retail investor convicted and fined for illegal short selling
Court convicted Wong King Hoi for obstruction of SFC’s search operation
SFC welcomes Chief Executive’s initiatives to enhance Hong Kong’s competitiveness
SFC welcomes appointment and re-appointment of Non-Executive Directors
Former account executive of Fulbright Securities Limited convicted of securities fraud
Cross-Agency Steering Group launches Sustainable Finance Internship Initiative to support capacity building
SFC reprimands and fines Asia Research & Capital Management Limited $1.75 million and bans former senior executive Billy Wong Yim Chi for two months
Court orders Sound Global to purchase shares from investors
New speech by Julia Leung: Keynote speech at ASIFMA Tech and Ops Conference 2022

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Regulatory News (Sep 2022)

September 7, 2022/in Regulatory News /by Tony Chan

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 date for unlicensed activities prosecution
Takeovers Panel rules on the price for the mandatory general offer for Suncity Group Holdings Limited
New speech by Julia Leung: Keynote speech at AIMA APAC Annual Forum 2022
SFC suspends Tang Kai Shing for eight months
SFC welcomes Central Government’s support to enhance Hong Kong’s IFC status

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Regulatory News (Aug 2022)

August 3, 2022/in Regulatory News /by Tony Chan

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 to freeze client account linked to suspected insider dealing
SFC commences MMT proceedings against hedge fund manager over alleged false trading
SFC issues quarterly report
Regulators to enhance Stock Connect trading calendar
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

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Regulatory News (Jul 2022)

July 7, 2022/in Regulatory News /by Tony Chan

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 Investment Services (Asia) Limited $7.7 million for mishandling client assets
SFC bans Lam Ki Fung for three years
SFC welcomes re-appointment of Non-Executive Directors
SFC welcomes re-appointment of Executive Directors
Chief Executive Officer to leave SFC
SFC and Police joint operation on suspected corporate fraud
Regulators announce development of Swap Connect

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2022-07-07 16:06:202022-08-03 12:59:27Regulatory News (Jul 2022)

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