Archive for category: Regulatory News

• SFC sets clear timeline for implementing an uncertificated securities market in Hong Kong
• SFC and CSRC hold high-level enforcement cooperation meeting
• Enduring strength of Hong Kong as leading international asset and wealth management hub: SFC survey 2023
• First District Court hearings for 18 defendants in three social media ramp-and-dump cases
• New speech by Julia Leung: Keynote address at Bond Connect Anniversary Summit 2024
• SFC and HKMA welcome PBoC’s new measure on Northbound Swap Connect margin collateral arrangement
• SFC to launch new online application and submission system for investment products
• SFC warns public of seven entities for suspected virtual asset-related fraud
• Court convicts and fines Tse Tsun Wai for unlicensed activity
• Hedge fund manager ordered to disgorge $5.6 million illicit profit from false trading and disqualified for four years
• First District Court hearing on insider dealing case against Segantii Capital Management and its chief investment officer

• Top executives of SFC and DFSA meet in Dubai to extend market ties
• Market manipulators convicted in landmark High Court jury trial
• SFC top executives visit Saudi Arabia and UAE to foster financial services collaboration
• SFC statement on the end of non-contravention period for virtual asset trading platforms
• SFC suspends Wong Ka Ching for four years
• SFC bans Cheung Wing Hung for 18 months
• SFC and Abu Dhabi’s FSRA hold high-level meeting in Athens
• Pre-trial review fixed for false trading in shares of China All Access (Holdings) Limited
• Two former brokers jailed for three months each for false trading
• SFC welcomes industry-led public consultation on voluntary code of conduct for ESG ratings and data products providers
• SFC facilitates broadening of master-feeder ETFs offerings in Hong Kong
• SFC warns public of suspicious investment plan relating to Big Boss Night Club
• SFC warns public of suspicious virtual asset-related product “LENA Network”
• Joint press release of the PBoC, the SFC and the HKMA on Swap Connect enhancements to advance high-quality opening-up of China’s financial markets
• SFC warns public of Quantum AI for suspected virtual asset-related fraud
• SFC obtains interlocutory asset freezing order against Leung Anita Fung Yee Maria
• SFC commences insider dealing prosecution against Segantii Capital Management and its chief investment officer

 

• Appointments to SFC committees
• SFC consults on proposals to enhance REIT regime and SFO market conduct regime for listed CIS
• Cross-Agency Steering Group and International Sustainability Standards Board members met in Hong Kong
• SFC commences MMT proceedings against Ding Yi Feng former chairman over suspected market manipulation
• SFC warns public of EDY for suspected virtual asset-related fraud
• SFC warns public of HKCEXP for suspected virtual asset-related fraud
• SFC and HKMA further consult on enhancements to Hong Kong’s OTC derivatives reporting regime
• Retail trader jailed for securities fraud via illegal short selling
• New speech by Rico Leung: Keynote speech at China Bond Market Forum 2024
• SFC warns public of suspicious websites for impersonation and suspected virtual asset-related fraud
• New speech by Christopher Wilson: Keynote Address at the ALB Pan Asian Regulatory and Anti-Corruption Compliance Summit 2024
• SFC warns public against unlicensed virtual asset trading platform MEXC
• Pre-trial review fixed for unlicensed dealing prosecution
• SFC warns public against unlicensed virtual asset trading platform Bybit
• SFC and CSRC top management met in Beijing
• Hong Kong sees surge in investment fund net inflows: SFC Quarterly Report
• SFC CEO appointed chair of IOSCO Asia-Pacific regional committee
• Synopsis of speeches and discussions at SFC Regulatory Symposium
• SFC and HKEX collaborate in enforcement action against two former GEM-listed company directors for misconduct
• SFC warns public of BitForex for suspected virtual asset-related fraud
• SFC warns public of suspicious websites impersonating licensed virtual asset trading platforms
• Green Fintech Map launch showcases Hong Kong’s edge in sustainable finance
• SFC reminds public VATP application period has ended under transitional arrangements

• Suspected core syndicate member charged in ramp-and dump case
• SFC and National Financial Regulatory Administration top management meet in Hong Kong
• SFC warns public of suspicious crypto-related products “Floki Staking Program” and “TokenFi Staking Program”
• SFC cautions public against impersonators of SFC CEO
• SFC issues guidance to eligible licensed corporations on participation in Wealth Management Connect scheme
• SFC sets out three-year strategic priorities
• SFC regulatory symposium to debut in late February
• SFC and Police warn public of Aramex and DIFX for suspected virtual asset-related frauds
• SFC warns public of suspicious investment products offered by Eternity Prime Limited
• SFC cautions public against impersonators of senior SFC executives
• New TV drama highlights SFC’s enforcement work
• SFC suspends Andy Wong Yeung for 10 months
• Cross-Agency Steering Group announces key initiatives to support Hong Kong in capitalising sustainable finance opportunities

• SFC and CSRC hold high-level enforcement cooperation meeting and joint training
• Hong Kong to launch China treasury bond futures
• SFC commences legal proceedings against AMTD Global Markets Limited and its former executives for non-compliance in IPO-related investigations
• SFC commences legal proceedings against First Credit Finance Group Limited, its former directors and de facto director
• SFC reprimands and fines Lion Futures Limited $2.8 million for regulatory breaches
• Court acquits duo of unlicensed activities
• SFC’s acquisition of permanent office
• SFC obtains court orders against former chairman of Kong Sun Holdings Limited and China Sandi Holdings Limited
• SFC seeks court disqualification orders against former directors of Tech Pro Technology Development Limited
• SFC inaugurates Forum on Sustainability Disclosures
• New speech by Julia Leung: Speech at Financial Street Forum 2023
• Conclusion of “Conversations with Global Investors” Seminar of Global Financial Leaders Investment Summit
• Court sets trial date for employing a fraudulent scheme in securities transactions in illegal short selling case
• SFC welcomes new financial infrastructure for retail fund distribution in Hong Kong