Regulatory News (Aug 2023)
- Market Misconduct Tribunal finds Mayer Holdings Limited and its former senior management for late disclosure of inside information
- SFC concludes consultation on amendments to enforcement-related provisions of the Securities and Futures Ordinance
- Warning: Virtual asset trading platforms engaging in improper practices
- Cross-Agency Steering Group announces priorities to further strengthen Hong Kong’s sustainable finance ecosystem
- Hong Kong’s asset and wealth management business fared on par with global markets in 2022
- Suspected core members of sophisticated syndicate charged in ramp-and-dump case
Regulatory News (Jul 2023)
- SFC welcomes licence and registration applications from depositaries of public funds
- Court convicted and fined Cheung Wing Hung for unlicensed activity
- SFC welcomes IOSCO endorsement of new sustainability disclosure standards
- SFC publishes review of SEHK’s performance in regulating listing matters
- New synopsis: Julia Leung’s keynote discussion at HKICPA’s CPA Congress
- SFC and AFRC join forces to combat misconduct by listed issuers
- SFC reprimands and fines Changjiang Asset Management (HK) Limited $3.4 million for regulatory breaches and internal control failures
- New speech by Tim Lui: Speech at Law Society of Hong Kong’s Forum
- SFC bans RaffAello Capital Limited’s former responsible officer for two years over IPO sponsor failures
- New speech by Julia Leung: Speech at HKSI Institute Regulatory Luncheon
- Court convicted and fined Ben Ngai Ping Kuen for unlicensed activity
Regulatory News (Jun 2023)
- Annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime
- SFC and Exchange sign second addendum to MoU governing listing matters
- Cross-Agency Steering Group welcomes publication of IFRS Sustainability Disclosure Standards
- New speech by Julia Leung: Keynote speech at ASIFMA China Capital Markets Conference
- SFC obtains disqualification orders against former directors of National Agricultural Holdings Limited
- Four people charged following SFC and Police joint operation against securities fraud and illegal short selling
- New speech by Julia Leung: Keynote Speech at Executive Dinner organised by the Hong Kong Economic and Trade Office in Bangkok, Office for Attracting Strategic Enterprises and InvestHK
- SFC publishes Annual Report 2022-23
- SFC reprimands and fines Taiping Securities (HK) Co Limited $1.3 million for internal control failures over employee dealings
- Appointments and re-appointments to SFC Advisory Committee
- CSRC and SFC hold high-level meeting in Hong Kong
- SFC issues restriction notice to Global Group Securities Limited
- SFC bans Xie Yangxiong for life
- SFC updates guidance to prepare for HKD-RMB Dual Counter Model
- SFC concludes consultation on the position limit regime
- New speech by Julia Leung: Keynote speech at HKIFA 16th Annual Conference