Regulatory News (Jan 2025)
- SFC expands listed structured fund offerings in Hong Kong
- SFC’s Chairman and CEO paid Director Xia Baolong visit in Beijing
- MMT sanctions chauffeur and wife for insider dealing in Dan Form shares and orders disgorgement of illicit profit
- New speech by Kelvin Wong: Keynote speech at the Association of Hong Kong Capital Market Practitioners’ Seminar
- SFC and HKEX collaborate in enforcement action against FingerTango Inc. and former directors for misconduct resulting in over $660 million of losses
- SFC extends swift licensing process to new virtual asset trading platform applicants
- New speech by Kelvin Wong: Keynote speech at The 2nd Hong Kong Capital Markets Forum 2025
- SFC welcomes expanding use of onshore RMB bonds as margin collateral in OTC Clearing Hong Kong Limited
- SFC warns public against unlicensed virtual asset trading platform iSCAT
- SFC bans Chan Ka Him for life for insurance fraud
- SFC secures first conviction against a solicitor for breaching secrecy provision
Regulatory News (Dec 2024)
- SFC reprimands and fines Ever-Long Securities Company Limited $3 million for sponsor failures
- SFC and SAFE top management meet in Beijing
- SFC bans fund manager Ng Ka Shun for life and fines him $1.7 million for serious misconduct
- SFC and Ministry of Finance top management meet in Beijing
- Mainland-Hong Kong Mutual Recognition of Funds enhancements to take effect on 1 January 2025
- SFC and PBoC top management meet in Beijing
- SFC publishes review of SEHK’s performance in regulating listing matters
- SFC and CSRC top management meet in Beijing
- Court sets trial date for insider dealing case against Segantii Capital Management and its chief investment officer
- SFC warns public of Alpha Advice’s unauthorised advertisements of investment product on Facebook
- SFC licenses virtual asset trading platforms under swift licensing process
- SFC steps up anti-scam publicity with “Don’t be Sucker” campaign
- SFC welcomes launch of Integrated Fund Platform
- Greater connectivity driving Hong Kong’s capital markets forward: SFC Quarterly Report
- Court verdict on fraud over secret backdoor listing
Regulatory News (Nov 2024)
- SFC and ICAC jointly investigate suspected misconduct in public office
- SFC-backed launch event garners broad industry support for voluntary code of conduct for ESG ratings and data products providers
- China Forestry’s former chairman and CEO sanctioned for market misconduct
- SFC hosts workshops to further engage the industry
- SFC and CSRC top management meet in Hong Kong
- SFC issues restriction notices to four brokers to freeze client accounts linked to suspected account hacking and market manipulation
- SFC suspends Wang Shian-tang for 26 months
- Conclusion of “Conversations with Global Investors” Seminar of Global Financial Leaders’ Investment Summit
- New speech: Julia Leung’s welcoming remarks at “Conversations with Global Investors” investment forum
- SFC and NFRA top management met in Hong Kong
- SFC withdraws Restriction Notice to broker over client’s suspected insider dealing after obtaining court order to freeze assets
- New speech by Kelvin Wong: Keynote speech at HKEX Connect Summit
- SFC sanctions Zuo Ping for breaches of the Takeovers Code
- District Court sets next hearing date for three sophisticated ramp-and-dump cases
- SFC commences MMT proceedings against Ding Yi Feng’s former chairman and others over suspected manipulation of Smartac International Holdings Limited shares
- Ramp-and-dump case against surrendered fugitive transferred to District Court
- SFC bans Jonathan Dominic Iu Wai Ching for 15 years
- SFC hosts forum to encourage responsible Regtech adoption for anti-money laundering and counter-financing of terrorism
- New speech by Julia Leung: Opening remarks at SFC AML/CFT Regtech Forum 2024
- SFC unveils first batch of brokers joining Wealth Management Connect Pilot Scheme