Regulatory News – Page 3 – CompliancePlus Consulting Limited

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)

Regulatory News (Jun 2022)

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

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 Providers under the OTC derivatives regulatory regime
SFC publishes Annual Report 2021-22
Cross-Agency Steering Group announces launch of information and data repositories and other progress in advancing Hong Kong’s green and sustainable finance development
SFC reprimands and fines China Everbright Securities (HK) Limited $3.8 million for breaches of anti-money laundering regulatory requirements
SFC proposes amendments to the Securities and Futures Ordinance to strengthen enforcement
Court orders Maxim Capital Limited and Maxim Trader to pay investors
SFC reminds investors of risks associated with non-fungible tokens

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 15:51:532022-07-07 15:51:53Regulatory News (Jun 2022)

Regulatory News (May 2022)

May 25, 2022/in Regulatory News /by Tony Chan

ETF Connect: Regulators announce implementation details
New speech by Ashley Alder: Keynote speech at PRI China Conference: Investing for Net Zero and SDGs
New speech by Ashley Alder: Keynote speech at ASIFMA China Capital Markets Conference
SFC bans Ho Pak Hay for life
Court orders Pyramid and Ponzi scheme fraudsters to compensate investors

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Regulatory News (Apr 2022)

May 25, 2022/in Regulatory News /by Tony Chan

SFC proposes changes to the position limit regime
Amendments to the REIT Code in relation to bookbuilding and placing activities
SFC bans Poon Choi Yung for 20 months
SFC publicly criticises Gao Yunhong and Feng Xuelian for breaches of the Takeovers Code
Regulators conclude consultation on new calculation periods and consult on annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime

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 Chan2022-05-25 15:02:062022-05-25 15:02:06Regulatory News (Apr 2022)

Regulatory News (Mar 2022)

March 11, 2022/in Regulatory News /by Tony Chan

The Green and Sustainable Finance Cross-Agency Steering Group welcomes the publication of the International Sustainability Standards Board proposed standards for public consultation
Appointments to SFC committees
Cross-Agency Steering Group releases assessment of carbon market opportunities for Hong Kong and next steps
SFC bans Kim Bum Suk for 27 months
New speech by Christina Choi: Climate change and ESG investment webinar
SFC publicly censures Wonderful Sky Financial Group Holdings Limited and Liu Tianni and publicly criticises Liu Kiki Ching Tung for breaching the Code on Share Buy-backs
SFC reprimands and fines Emperor Securities Limited and Emperor Futures Limited $5.4 million for breaches of anti-money laundering regulatory requirements
SFC obtains court order to disqualify former directors of DBA Telecommunication (Asia) Holdings Limited
SFC reprimands and fines HSBC Securities Brokers (Asia) Limited $6.3 million for regulatory breaches
SFC bans Leung Siu Lun for life

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 Chan2022-03-11 13:00:562022-05-25 14:37:49Regulatory News (Mar 2022)

Regulatory News (Feb 2022)

February 17, 2022/in Regulatory News /by Tony Chan

SFC issues quarterly report
SFC concludes consultation on regulating trustees and custodians of public funds and further consults on implementation details
Court orders insider dealers to pay $12.9 million to investors
SFC reprimands and fines South China Commodities Limited $4.8 million for regulatory breaches

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Regulatory News (Jan 2022)

January 13, 2022/in Regulatory News /by Tony Chan

SFC reprimands and fines Citigroup Global Markets Asia Limited $348.25 million for serious regulatory failures over client facilitation activities
Thematic reviews by ASIC and SFC of the foreign exchange (FX) activities of global financial groups
Market Misconduct Tribunal sanctions Tianhe Chemicals Group Limited and its executive director for issuing false or misleading information in the company’s listing prospectus
SFC sanctions Chu Hing Tsung for breaches of the Takeovers Code
SFC reprimands and fines Zhonghui International Futures Company Limited $5 million for regulatory breaches
SFC commences disciplinary proceedings against Wonderful Sky Financial Group Holdings Limited and others for alleged breach of the Share Buy-backs Code

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 Chan2022-01-13 17:54:532022-02-17 15:19:51Regulatory News (Jan 2022)

Regulatory News (Dec 2021)

December 8, 2021/in Regulatory News /by Tony Chan

Process Review Panel Report 2020-21
Court convicts Wai Chun Holdings Group Limited and its director of Disclosure of Interests Offences
SFC reprimands and fines Grand International Futures Co., Limited $8 million and suspends its responsible officer for regulatory breaches
SFC bans Chu Chun Wai for seven months for supervisory failures
SFC and CSRC hold high-level enforcement cooperation meeting and joint training
Cross-Agency Steering Group announces progress and way forward to advance Hong Kong’s green and sustainable finance development
Hong Kong-Singapore joint operation against suspected cross-border ramp-and-dump syndicate
Consultation on new calculation periods under the OTC derivative clearing rules
SFC to introduce next generation digital licensing platform
SFC reprimands and fines Mason Securities Limited $3.6 million for breaches of anti-money laundering regulatory requirements
SFC publishes review of SEHK’s performance in regulating listing matters
SFC issues quarterly report
SFC bans Poon Chun Hing for life
SFC bans Wang Yu Ching for 10 years

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 Chan2021-12-08 12:52:482022-01-13 17:41:05Regulatory News (Dec 2021)

Regulatory News (Nov 2021)

November 8, 2021/in Regulatory News /by Tony Chan

Executive Director – Enforcement
SFC issues restriction notices to two brokers to freeze client accounts linked to a suspected social media ramp-and-dump scam
SFC Regulatory Forum explores Hong Kong’s future role as China’s international financial centre
Court finds trio engaged in insider dealing in TeleEye shares
SFC bans Ma Kwok Ho and Gee King Yip
Green and Sustainable Finance Cross-Agency Steering Group reaffirms commitment to develop Hong Kong as a green finance hub
New speech by Ashley Alder: Keynote speech at Green Horizon Summit @ COP26
New speech by Julia Leung: Keynote address at Hong Kong FinTech Week 2021
SFC reprimands and fines Fulbright Securities Limited $3.3 million and suspends its responsible officer for internal control failures

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 Chan2021-11-08 14:43:102021-12-08 12:44:36Regulatory News (Nov 2021)

Regulatory News (Oct 2021)

October 19, 2021/in Regulatory News /by Tony Chan

SFC concludes consultation on conduct requirements for bookbuilding and placing activities
SFC concludes consultation on amendments to the Code on Pooled Retirement Funds
SFC bans Lau Tin Yau for life
Court upholds conviction of Law Sai Hung over unlicensed activities
SFAT affirms SFC decision to reprimand and fine Yi Shun Da Capital Limited for sponsor failures
SFC reprimands and fines Ample Capital Limited $5.5 million and suspends its responsible officer for IPO sponsor failures
Two former senior executives of Convoy Global jailed for conspiracy to defraud
SFC welcomes re-appointment of Chairman and appointment of Non-Executive Directors
Green and Sustainable Finance Cross-Agency Steering Group supports Hong Kong’s Climate Action Plan 2050
SFC-HKMA’s first joint survey signals active investment products market
SFC issues Restriction Notice to HF Asset Management Limited
SFC supports Chief Executive’s initiatives
SFC sets out standards for operational resilience and remote working arrangements

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 Chan2021-10-19 11:37:082021-11-08 14:25:05Regulatory News (Oct 2021)

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