Regulatory News – Page 4 – CompliancePlus Consulting Limited

Regulatory News (Sep 2021)

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

SFC-ICAC operation leads to conviction of Convoy Global’s former senior executives
SFC concludes consultation on anti-money laundering guidelines
New speech by Tim Lui: Opening address at ACCA Hong Kong Virtual Annual Conference 2021
New synopsis by Christina Choi: Webinar at Hong Kong Securities and Investment Institute

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 11:24:332021-10-19 11:25:08Regulatory News (Sep 2021)

Regulatory News (Aug 2021)

August 11, 2021/in Regulatory News /by Tony Chan

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 quarterly report
SFC Executive Director to retire
SFC and ICAC joint operation on listed company’s suspicious money lending activities
SFC to introduce investor identification and OTC securities transaction reporting
SFC reprimands and fines UBS AG and UBS Securities Asia Limited $11.55 million for regulatory breaches

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 Chan2021-08-11 11:15:582021-10-19 11:13:37Regulatory News (Aug 2021)

Regulatory News (Jul 2021)

July 15, 2021/in Regulatory News /by Tony Chan

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 green and sustainable finance strategy
SFC obtains court order to disqualify former executive director of Anxin-China Holdings Limited for eight years
SFC and Canadian securities regulators establish Fintech cooperation agreement
SFC and ICAC search a listed company and an underwriter
SFC bans Lau Kwo for 12 months
SFC reprimands and fines Raymond Leung Tak Shing $400,000 for breaches of anti-money laundering regulatory requirements

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 Chan2021-07-15 14:59:212021-08-09 15:21:17Regulatory News (Jul 2021)

Regulatory News (Jun 2021)

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

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 the OTC derivatives regulatory regime
New speech by Ashley Alder: Keynote address at City Week 2021
New speech by Ashley Alder: Keynote address at AIMA APAC Annual Forum 2021
SFC to upgrade industry practitioners’ competency standards
Implementation of Hong Kong-Thailand Mutual Recognition of Funds
Market Misconduct Tribunal sanctions Cheng Chak Ngok for insider dealing in China Gas shares
SFC suspends Lun Sheung Nim for 7.2 months
New speech by Julia Leung: Keynote speech at HKIFA 14th Annual Conference
SFAT allows review for Mr Cai Hongping
Court orders boiler room fraudsters to compensate investors
SFC identifies vaccination as key element of operational risk management

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 Chan2021-06-08 17:22:152021-07-15 14:16:42Regulatory News (Jun 2021)

Regulatory News (May 2021)

May 10, 2021/in Regulatory News /by Tony Chan

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 & HealthCare Group Limited and its directors for late disclosure of inside information
Launch of grant scheme for open-ended fund companies and real estate investment trusts

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 Chan2021-05-10 12:06:122021-06-08 17:09:51Regulatory News (May 2021)

Regulatory News (Apr 2021)

April 16, 2021/in Regulatory News /by Tony Chan

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 Limited $1.05 million over short position reporting failures
Consultation on annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime
Court acquits solicitor of insider dealing in shares of CASH Financial Services Group Limited
Market Misconduct Tribunal sanctions two former executives for insider dealing in Asia Telemedia Limited shares
Arrest warrant issued for alleged social media ramp-and-dump manipulator

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Regulatory News (Mar 2021)

March 9, 2021/in Regulatory News /by Tony Chan

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
SFC reprimands and fines Yardley Securities Limited $5 million for breaches of anti-money laundering regulatory requirements
SFC issues restriction notices to 15 brokers to freeze client accounts linked to suspected social media ramp-and-dump scam
SFC reprimands and fines Sino-Rich Securities & Futures Limited $7.2 million for breaches of anti-money laundering regulatory requirements
Market Misconduct Tribunal sanctions Magic Holdings International Limited and its directors for late disclosure of inside information
SFC and Police joint operation against suspected ramp-and-dump syndicate
SFC obtains disqualification orders against former senior executives and officers of Shandong Molong Petroleum Machinery Company Limited

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 Chan2021-03-09 12:41:182021-04-16 11:46:24Regulatory News (Mar 2021)

Regulatory News (Feb 2021)

February 4, 2021/in Regulatory News /by Tony Chan

SFC petitions for the winding up of Adamas Asset Management (HK) Limited and seeks to appoint provisional liquidators
SFC and FRC to enhance collaboration
SFC welcomes government budget measures
SFC issues quarterly report
SFC reprimands and fines Brilliance Asset Management Limited $3.15 million over short position reporting failures
SFC issues restriction notices to 13 brokers to freeze client accounts linked to suspected social media ramp-and-dump scam
New speech by Ashley Alder: Climate change and finance: What’s next for global regulators?
SFC welcomes re-appointment of Executive Director and Deputy CEO
SFC and Police warn investors about social media scams
SFC issues restriction notices to two brokers to freeze client accounts linked to suspected social media ramp-and-dump scam
SFC obtains disqualification orders against former senior executives of Far East Holdings International Limited
SFC consults on conduct requirements for bookbuilding and placing activities
MoU on Cross-boundary Wealth Management Connect
SFC cautions investors on trading volatility
Market Misconduct Tribunal sanctions Li Yik Shuen for insider dealing in Meadville Holdings Limited shares
Notice inviting claims in respect of Hong Kong Wan Kiu Investment Company Limited

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 Chan2021-02-04 12:34:402021-03-09 12:27:37Regulatory News (Feb 2021)

Regulatory News (Jan 2021)

January 5, 2021/in Regulatory News /by Tony Chan

SFC issues restriction notices to five brokers to freeze client accounts linked to suspected market manipulation
Hong Kong and Thailand regulators sign MoU on Mutual Recognition of Funds
New speech by Ashley Alder: Special remarks at the Asian Financial Forum 2021
Court upholds jail sentence against former GEM-listed group finance manager for insider dealing
Company secretary jailed for insider dealing
SFC bans Yung Lap Hong 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 Chan2021-01-05 11:34:432021-02-04 12:28:03Regulatory News (Jan 2021)

Regulatory News (Dec 2020)

January 5, 2021/in Regulatory News /by Tony Chan

SFC issues restriction notice to a broker to freeze client accounts linked to suspected market manipulation
SFC reprimands and fines Fulbright Securities Limited $3.6 million
SFC concludes consultation on customer due diligence requirements for open-ended fund companies
SFC previews new electronic licensing services
SFC proposes amendments to the Code on Pooled Retirement Funds
Company secretary convicted of insider dealing
Cross-agency steering group launches its Strategic Plan to Strengthen Hong Kong’s Financial Ecosystem to Support a Greener and More Sustainable Future
SFC licenses first virtual asset trading platform
Market Misconduct Tribunal finds Li Yik Shuen culpable of insider dealing in Meadville Holdings Limited shares
SFC proposes to upgrade the industry’s competency standards
SFC provides additional guidance on external electronic data storage
Market Misconduct Tribunal finds insider dealing in China Gas shares
Process Review Panel Report 2019-20
SFC issues quarterly report
SFC consults on investor identification
Amendments to the Code on Real Estate Investment Trusts take effect
Arrangements relating to SFC’s public services

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 Chan2021-01-05 11:07:212021-01-05 11:15:50Regulatory News (Dec 2020)

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