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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
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 Chan2023-04-17 11:01:512023-04-17 11:01:51Regulatory News (Apr 2023)

Mingpao Article on Attracting Family Offices to Hong Kong

April 17, 2023/in Media Coverage /by Tony Chan
  • 明報: 港力谷家族辦公室 顧問料吸內地年輕富豪 (2023-04-17)
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 Chan2023-04-17 10:57:142023-04-17 10:57:59Mingpao Article on Attracting Family Offices to Hong Kong

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
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 Chan2023-03-28 12:09:502023-03-28 12:17:28Regulatory News (Mar 2023)
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Latest Press Release

  • CompliancePlus Advises on Endowus’ Successful Digital Advisor SFC Licenses Application
  • CompliancePlus Donated 10,000 COVID-19 Rapid Antigen Test Kits
  • CompliancePlus Announces Support for the Task Force on Climate-related Financial Disclosures
  • CompliancePlus has been supporting distance online learning program for children suffering from cerebral palsy in mainland through partnership with Silver Lining Foundation
  • CompliancePlus presented awards to winners of Clinical Legal Education Book Prize 2019 in HKU

Latest Media Coverage

  • Mingpao Article on Attracting Family Offices to Hong Kong
  • HKEJ Article on Increasing Licensing Efficiency by SFC and Optimising Online Application
  • Bloomberg: Hong Kong Exodus Forces Market Watchdog Staff Into 12-Hour Days
  • FT/ Ignites Asia: Smaller firms still ‘puzzled’ over HK climate risk disclosure demands
  • Mingpao article on Impacts of the National Security Law on the Financial Industry in Hong Kong

Latest Regulatory News

  • Regulatory News (Apr 2023)
  • Regulatory News (Mar 2023)
  • Regulatory News (Feb 2023)
  • Regulatory News (Jan 2023)
  • Regulatory News (Dec 2022)

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