News – CompliancePlus Consulting Limited

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Regulatory News (Jul 2022)

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

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

Regulatory News (May 2022)

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