Regulatory News (Apr 2021)
- 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
Regulatory News (Mar 2021)
- 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