Regulatory News (Jul 2024)
- SFC sets clear timeline for implementing an uncertificated securities market in Hong Kong
- SFC and CSRC hold high-level enforcement cooperation meeting
- Enduring strength of Hong Kong as leading international asset and wealth management hub: SFC survey 2023
- First District Court hearings for 18 defendants in three social media ramp-and-dump cases
- New speech by Julia Leung: Keynote address at Bond Connect Anniversary Summit 2024
- SFC and HKMA welcome PBoC’s new measure on Northbound Swap Connect margin collateral arrangement
- SFC to launch new online application and submission system for investment products
- SFC warns public of seven entities for suspected virtual asset-related fraud
- Court convicts and fines Tse Tsun Wai for unlicensed activity
- Hedge fund manager ordered to disgorge $5.6 million illicit profit from false trading and disqualified for four years
- First District Court hearing on insider dealing case against Segantii Capital Management and its chief investment officer
Regulatory News (Jun 2024)
- SFC warns public of Tokencan, VBIT Exchange and HKD.com Corporation for suspected virtual asset-related fraud and/or unlicensed activities
- SFC and HKMA conclude annual updates to Financial Services Providers list under OTC derivatives regulatory regime
- SFC bans Wu Chao for three years and seven months
- SFC secures conviction for provision of paid investment advice on Telegram chat group without licence
- SFC suspends Shum Wai Nap for seven months for failures in managing a private fund
- Three sophisticated ramp-and-dump cases transferred to District Court
- SFC’s 35th year and beyond: guiding Hong Kong’s capital markets with mission and vision
- Market manipulation case adjourned for sentencing
- SFC bans Ha Po Kwan for 12 months
- SFC welcomes progress on implementation of Mainland-Hong Kong Mutual Recognition of Funds enhancements
- SFC briefs virtual asset trading platform applicants on regulatory expectations after transition period ends
- Insider dealing case against Segantii Capital Management and its chief investment officer transferred to District Court
- SFC cooperates with BCSC in obtaining preservation orders against Leung Anita Fung Yee Maria in British Columbia, Canada
- New speech by Julia Leung: Speech at Greenwich Economic Forum Hong Kong
- SFC meets Capital Market Authority and Saudi Tadawul Group in Saudi Arabia
Regulatory News (May 2024)
- Top executives of SFC and DFSA meet in Dubai to extend market ties
- Market manipulators convicted in landmark High Court jury trial
- SFC top executives visit Saudi Arabia and UAE to foster financial services collaboration
- SFC statement on the end of non-contravention period for virtual asset trading platforms
- SFC suspends Wong Ka Ching for four years
- SFC bans Cheung Wing Hung for 18 months
- SFC and Abu Dhabi’s FSRA hold high-level meeting in Athens
- Pre-trial review fixed for false trading in shares of China All Access (Holdings) Limited
- Two former brokers jailed for three months each for false trading
- SFC welcomes industry-led public consultation on voluntary code of conduct for ESG ratings and data products providers
- SFC facilitates broadening of master-feeder ETFs offerings in Hong Kong
- SFC warns public of suspicious investment plan relating to Big Boss Night Club
- SFC warns public of suspicious virtual asset-related product “LENA Network”
- Joint press release of the PBoC, the SFC and the HKMA on Swap Connect enhancements to advance high-quality opening-up of China’s financial markets
- SFC warns public of Quantum AI for suspected virtual asset-related fraud
- SFC obtains interlocutory asset freezing order against Leung Anita Fung Yee Maria
- SFC commences insider dealing prosecution against Segantii Capital Management and its chief investment officer